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RANDALL JAMES HOOPER
CRD#: 1900141
IA
Investment Adviser
B
Broker Regulated by FINRA
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 5200 Town Center Cir Ste 600
BOCA RATON, FL 33486-1045
+1
Registration History
199019952000200520102015202020252 FIRMS1999 - 2007 (8 years)2 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - 2022 (10 years)2 FIRMS2022 - Present (2 years)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)1995 - 1999 (3 years)BJW CHARLES SECURITIES,INC. (CRD# 33832)1994 - 1995 (1 year)BJW CHARLES SECURITIES, INC. (CRD# 6631)1992 - 1994 (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1990 - 1992 (1 year)BPALM BEACH FINANCIAL, INC. (CRD# 19477)1990 - 1990 (<1 year)
Disclosure(s)
View By:
4/21/2022
Customer Dispute
Denied
5/18/2016
Customer Dispute
Settled
10/27/2009
Customer Dispute
Denied
10/18/2001
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona

B
Maryland

B
Colorado

B
Massachusetts

B
Florida

B
New York

IA
Florida

B
North Carolina

B
Georgia

B
Ohio

B
Illinois

B
Pennsylvania

B
Louisiana

B
Tennessee

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
5200 Town Center Cir Ste 600, BOCA RATON, FL 33486-1045
Registered with this firm since 11/4/2022

IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
5200 Town Center Cir Ste 600, BOCA RATON, FL 33486-1045
Coconut Creek, FL
Registered with this firm since 11/7/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/12/2012 - 11/10/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) BOCA RATON, FL
B
10/11/2012 - 11/10/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) BOCA RATON, FL
IA
06/01/2009 - 10/25/2012 MORGAN STANLEY (CRD#:149777) BOCA RATON, FL
B
06/01/2009 - 10/25/2012 MORGAN STANLEY (CRD#:149777) BOCA RATON, FL
IA
08/20/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BOCA RATON, FL
B
08/17/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BOCA RATON, FL
IA
02/18/1999 - 08/27/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BOCA RATON, FL
B
02/13/1999 - 08/27/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BOCA RATON, FL
B
09/06/1995 - 02/18/1999 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) ST. PETERSBURG, FL
B
01/03/1994 - 08/22/1995 JW CHARLES SECURITIES,INC. (CRD#:33832) BOCA RATON, FL
B
06/02/1992 - 01/03/1994 JW CHARLES SECURITIES, INC. (CRD#:6631) BOCA RATON, FL
B
10/02/1990 - 04/06/1992 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
07/19/1990 - 10/17/1990 PALM BEACH FINANCIAL, INC. (CRD#:19477)
FINRA expelled the firm on 10/29/1992
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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