Richard Randolph, financial advisor Santa Barbara CA
83 score

Richard Randolph

CRD Number: 1192031
Current Firm: Charles Schwab & Company, Inc.

Richard Randolph (CRD# 1192031) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Santa Barbara, CA and has over 20 years of experience in the finance industry.

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Company Name Location Dates Years
Charles Schwab Bank Santa Barbara, CA Dec 2006 - Current 10
Charles Schwab & Company, Inc. Santa Barbara, CA Nov 2006 - Current 10
A.g. Edwards And Sons Santa Barbara, CA Aug 2006 - Nov 2006 < 1
Quest Capital Laguna Hills, CA Jun 2005 - Aug 2006 1
Agia Insurance Services Carpinteria, CA Dec 2004 - Aug 2006 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 2010
S65 NASAA Investment Advisors Law Examination Sep 1996
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Richard H. Randolph
Phone Number: 415-667-7000
Firm Website: https://www.schwab.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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