Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Randy? Claim Your ProfileRandy Netto is a financial advisor who has been working in the industry since 2006. Randy is currently registered with Wells Fargo Clearing Services, LLC, in California, Colorado and Utah. Prior to joining Wells Fargo Clearing Services, LLC, Randy was registered with J.P. Morgan Securities LLC. Randy has a Series 6, 7, 9, 10, 24, 52, 53, 63 and 65 license. Randy also holds a Series 4. Randy is a Registered Options Principal, Municipal Securities Principal and General Securities Principal.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
07/31/2017 - Present
Wells Fargo Clearing Services, LLC (SAN DIEGO CA)
CA
10/01/2012 - 05/06/2015
J.P. MORGAN SECURITIES LLC (CUPERTINO CA)
CA
08/30/2006 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (WESTMINSTER CA)
IA
Issued 11/01/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/07/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/13/2012
Series 4 - Registered Options Principal Examination
BC
Issued 05/13/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/19/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/09/2007
Series 7 - General Securities Representative Examination
BC
Issued 08/29/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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