Randall Caleb Staudt

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-09-07

TX RA
APPROVED

Since 2023-09-07

Branch Locations

10301 Ne Zac Lentz Pkwy, Ste B, Victoria, TX 77904 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Cetera Investment Services Llc	St. Cloud	MN	05/2008	09/2023
Prosperity Bank	Victoria	TX	04/2008	10/2016
Cetera Investment Advisers Llc	Victoria	TX	01/2014	09/2023
Lpl Financial Llc	Victoria	TX	09/2023	Present

05/2008 → 09/2023

Cetera Investment Services Llc

St. Cloud, MN
04/2008 → 10/2016

Prosperity Bank

Victoria, TX
01/2014 → 09/2023

Cetera Investment Advisers Llc

Victoria, TX
09/2023 → Present

Lpl Financial Llc

Victoria, TX

Previous Registrations

2014-01-21 → 2023-09-06

Cetera Investment Advisers Llc

Victoria, TX

Victoria, TX
2009-07-14 → 2014-01-21

Cetera Investment Services Llc

Victoria, TX

Victoria, TX

Victoria, TX

Victoria, TX

Other Businesses

1.09/06/2023; No Chance Band; Band/Musician; Not Investment Related; ; Start Date 04/10/2016; hrs/mth; hrs during trading 2.09/06/2023; Investment products and services are offered through LPL Financial LLC using the DBA/trade name south star wealth management, inc; Investment Related; at Reported Business Location(s); Start Date 08/08/2023; 160hrs/mth; 8hrs during trading 3.09/06/2023; Staudt Financial Services, LLC; Business Entity For Tax/Investment Purposes Only; Not Investment Related; at Reported Business Location(s); Start Date 11/01/2016; hrs/mth; hrs during trading 4.09/06/2023; Individual Owned; Real Estate Rental; Investment Related; ; Start Date 09/30/2022; 1hrs/mth; hrs during trading 5.04/26/2024; VIP Insurance Agnecy; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date 03/08/2024; 2hrs/mth; 2hrs during trading 6.12/30/2024; Ben Liveley LLC for The Ben Liveley Ranch LP; Other - General LLC for LP; Not Investment Related; 615 Charleston Drive,Victoria; Start Date 02/15/2024; 4hrs/mth; 0hrs during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-07-09
S63	Uniform Securities Agent State Law Examination	2008-06-11

S65 Uniform Investment Adviser Law Examination

2009-07-09
S63 Uniform Securities Agent State Law Examination

2008-06-11

Other Names

Caleb Staudt
R. Caleb Staudt

View on SEC IAPD