Randall Dean Hartley
Investment Adviser Representative at RBC Capital Markets, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Randall Dean Hartley is an investment adviser representative with RBC Capital Markets, LLC in Atlanta, GA, where they have been registered since 2019. They have worked in the securities industry since 1997 and have been registered with 3 firms, including Morgan Stanley and Merrill Lynch, Pierce, Fenner & Smith Incorporated. They have passed 6 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 9 (options sales supervisor). They are registered to provide investment advice in Georgia, Texas, and Virgin Islands.
Office
Advisors at this office: 45
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Georgia, Texas, Virgin Islands
- Broker:
32 states and territories
Alabama, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Idaho, Illinois, Indiana, Kentucky, Louisiana, Nebraska, Nevada, New Jersey, New York, North Carolina, Ohio, Oregon, Puerto Rico, South Carolina, South Dakota, Tennessee, Texas, Utah, Virgin Islands, Virginia, Washington, Wisconsin, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Morgan Stanley Smith Barney LLCFeb 2012 – May 2019Atlanta, GA
- Morgan Stanley Private BANK, N.A.Jan 2015 – May 2019New York, NY
- RBC Capital Markets, LLC.May 2019 – no end date reportedAtlanta, GA
- CITY National BANKOct 2020 – Dec 2023Atlanta, GA
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About RBC Capital Markets, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Retirement Plan Rollovers, Retirement Income Planning, Portfolio Management, Estate Planning Services, Education Funding, Company Stock Option Planning, and Tax-Exempt Municipal Bonds.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 3,804
- Offices listed on AdvisorFinder:
- 26
- Main office:
- New York, NY
- SEC file number:
- 801-13059
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 30, 2026
View full firm profileOther advisors at RBC Capital Markets, LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Randall Dean Hartley has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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