DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Randy Edward Ball

Santander SecuritiesBD affiliatedKingston, Ma dual registrantIAPD 3172188

Feed of 09/15/2026

Also filed as Randy Ball

At current firm

10 y

since Nov 5, 2015

In the industry

27 y

since Apr 9, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Santander Securities BD affiliated current
since Nov 5, 2015 · Salem, Nh
Citizens Securities, Inc. BD affiliated
Apr 20, 2007 to Sep 23, 2015 · Barrington, Ri
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
May 6, 2005 to Apr 11, 2007 · Providence, Ri
Banc Of America Investment Services, Inc. unclassified
Oct 20, 2004 to May 9, 2005 · Warwick, Ri
Quick & Reilly, Inc. unclassified
Nov 15, 2002 to Oct 20, 2004 · Warwick, Ri

Moves

a registration end followed by a registration begin elsewhere

Citizens Securities, Inc. to Santander Securities
left Sep 23, 2015, registered Nov 5, 2015 (43 days) · Other · moved with a team
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Citizens Securities, Inc.
left Apr 11, 2007, registered Apr 20, 2007 (9 days) · Other
Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left May 9, 2005, registered May 6, 2005 (-3 days) · Other
Quick & Reilly, Inc. to Banc Of America Investment Services, Inc.
left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move

Signals

No dated event on this person.

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address