Business Description

Randall Financial Group, LLC was established in 2002 by Oliver R. Tutt. Oliver has been a Certified Financial Planner practitioner since 1998. He leads a team of financial planners who take pride in forming long-term relationships with clients. They provide highly personalized and customized services to individuals in the areas of portfolio management, estate planning, insurance planning, tax planning and preparation. Randall Financial operates free from sales pressure and places clients best interest as the highest priority.

General Information

Gender:

Male

CRD#:

2246257

Firm CRD#:

134804

Insurance License#:

1049868

Name of Broker/Dealer:

Purshe Kaplan Sterling

Name of Custodial Firm:

Fidelity Investments

States Licensed in:

RI, MA

States Willing to do Business in:

RI, MA

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Certified Financial Planner practitioner since 1996. Vice President with Public Company for 7 Years prior to starting Randall Financial Group, LLC

I work with the following types of clients:

Businesses, Individual Investors, Non-Profit Organizations

Education

Academic Background

B.S. Finance from University of Rhode Island
Financial planning certificate from Denver College of Financial Planning
Post Graduate Study at U of RI and UMASS

Services

Investment Types:

Mutual Funds, Insurance, Exchange Traded Funds (ETFs), Annuities, Bonds, Stocks

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant

Securities Licenses:

Series 7, Series 24, Series 63, Series 6

Insurance and Annuity Licenses:

Variable Annuity, Long Term Care, Variable Life, Disability, Accident, Annuity, Health, Life

Financial Organization Memberships:

Financial Planning Association (FPA)

Firm Information

Number of Advisors in Office:

Up to 10 employees

Firm's Number of Clients:

Firm's Number of Planning Clients:

Firm's Number of Managed Clients:

Assets Managed by Firm:

$20,000,000

Advisor's Number of Clients:

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

$20,000,000

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

Yes

Investment Advisor Representative:

Yes

I am an acknowledged fiduciary:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$50,000

Compensation Methods:

Flat Fee, Hourly, Commissions, Based on Assets

Fee % Based on Assets:

Up to 1.25

Hourly Rate:

$150

Additional Details on Charges:

Will work with clients on an hourly or retainer basis. Retainer fees vary based on assets and work requested.

Minimum Fee Charged for Managed Accounts:

$1250

Prepared By:

Oliver Tutt, CFP®