Randall Richard has been President & Chief Compliance Officer of Allegiance Financial Group since September 1996, is a control person of the firm and directly owns between 50% and 75% of it.
Allegiance Financial Group, Inc. is a South Portland, ME firm with $181M under management, 173 clients and 6 advisers in one office, as of its March 2026 filing.
Randall Richard’s longest registration is the current one, 24 years at Allegiance Financial Group since 2002.
- Savant Wealth ManagementAlso current– present · under a yearSouth Portland, ME · Adviser representative · Firm CRD 107271
- – present · 24 yearsSouth Portland, ME · Adviser representative · Firm CRD 113826
Investment adviser representative registrations
Randall Richard is registered as an investment adviser representative in Maine, since September 2002.
- MaineSince 27 September 2002
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 23 October 2002 |
| Series 65 | Uniform Investment Adviser Law Examination | 13 April 1996 |
| Series 24 | General Securities Principal Examination | 8 April 1993 |
| Series 63 | Uniform Securities Agent State Law Examination | 23 March 1988 |
| Series 7 | General Securities Representative Examination | 20 February 1988 |
- Name
- Municipal Securities Representative Examination
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Randall Jon Richard
- CRD
- 1800517
- Firm
- Allegiance Financial Group · CRD 113826
- Role
- President & Chief Compliance Officer
- Office
- 50 DONALD B. DEAN DRIVE, SUITE ONE, South Portland, ME 04106
- Registration
- Investment adviser and broker registrations
- In the industry since
- April 1988
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Randall Richard work?
Randall Richard has been President & Chief Compliance Officer of Allegiance Financial Group, Inc. since September 1996, and is a control person of the firm.
Is Randall Richard a financial advisor?
Yes. Randall Richard has a current investment-adviser registration in Maine, through Allegiance Financial Group since September 2002.
How many years of experience does Randall Richard have?
Randall Richard has 38 years in the financial industry, since April 1988, across 2 adviser firms.
What exams has Randall Richard passed?
Randall Richard has passed 9 licensing exams: the Series 7, Series 63, Series 24, Series 65, Series 53, Series 14, Series 99TO, Series 6TO and Series 52TO. The earliest, the Series 7, was passed in February 1988. FINRA credited Randall Richard with the SIE, which began in October 2018.
Where is Randall Richard based?
Randall Richard’s registered office is in South Portland, ME.
Is Randall Richard registered with FINRA?
Yes. Randall Richard has a current broker registration, under CRD 1800517.
Source: FINRA BrokerCheck
How can I verify Randall Richard’s record?
Search CRD 1800517 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Randall Richard’s full registration record.