Richard W. Paul

RICHARD W. PAUL & ASSOCIATES

Novi, MI 48375

Some features on this profile are disabled

CRD#: 1068741

Professional summary

Richard William Paul, CFP®, who also goes by Rich Paul, Richard William Paul Mr., is a registered financial advisor currently at RICHARD W. PAUL & ASSOCIATES, LLC located in Novi, Michigan.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Richard has worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rich Paul | Richard William Paul Mr.

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

MIDWEST FINANCIAL CONSULTANTS, 39555 ORCHARD HILL PLACE, SUITE 150, NOVI, MI. OWNER/PRESIDENT, Started 9/2007, INVESTMENT RELATED. FIXED INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard William Paul's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

May 20, 2011 - Present

RICHARD W. PAUL & ASSOCIATES, LLC

Office #1: 39555 Orchard Hill Place Suite 100, Novi, MI 48375

RIA

CRD#: 156812

Novi, MI

Past

November 25, 2009 - April 28, 2011

ALLEGIANT FINANCIAL ADVISORS, LLC

RIA

CRD#: 141047

NOVI, MI

Past

November 6, 2009 - April 28, 2011

ALLEGIANT SECURITIES L.L.C.

CRD#: 133912

MIAMI, FL

Past

October 17, 2007 - November 13, 2009

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

September 10, 2007 - November 12, 2009

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

NOVI, MI

Past

November 23, 1999 - September 6, 2007

QUESTAR CAPITAL CORPORATION

CRD#: 43100

NOVI, MI

Past

January 29, 1999 - November 19, 1999

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

March 28, 1995 - December 15, 1998

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

February 24, 1989 - June 1, 1993

NORTH AMERICAN MANAGEMENT, INC.

CRD#: 624

SIOUX FALLS, SD

Past

October 28, 1987 - May 12, 1988

MONARCH SECURITIES, INC.

CRD#: 2809

Past

January 4, 1986 - October 5, 1987

MONARCH SECURITIES, INC.

CRD#: 2809

Past

June 25, 1985 - February 6, 1995

MARINER FINANCIAL SERVICES, INC.

CRD#: 8292

LARGO, FL

Past

June 18, 1984 - July 3, 1985

MUTUAL SERVICE CORPORATION

CRD#: 4806

Past

November 30, 1982 - May 15, 1984

SIGNATOR INVESTORS, INC.

CRD#: 468

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RICHARD W. PAUL & ASSOCIATES, LLC

PAUL, RICHARD WILLIAM | RICHARD W. PAUL & ASSOCIATES, LLC | RICHARD W. PAUL & ASSOCIATES

CRD#: 156812 / SEC#: 801-116985

RIA

Registered Investment Advisory firm - (7/23/2019 Approved)

Michigan

Registered Investment Advisory firm - (8/13/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Michigan
(5/20/2011)

IAR

Texas
(6/25/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/23/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/9/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/15/2004

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 9/4/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 11/29/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RICHARD W. PAUL & ASSOCIATES, LLC

PAUL, RICHARD WILLIAM | RICHARD W. PAUL & ASSOCIATES, LLC | RICHARD W. PAUL & ASSOCIATES

CRD#: 156812 / SEC#: 801-116985

RIA

Registered Investment Advisory firm - (7/23/2019 Approved)

Michigan

Registered Investment Advisory firm - (8/13/2019 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

39555 Orchard Hill Place Suite 100, Novi, MI 48375

Mailing Address

Phone number

(248) 305-9911

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A AND 2B - SEC (3/13/2025)

Regulatory assets under management

Total Number of Accounts	1,800
AUM (Assets Under Management)	$ 323,337,711

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Jack Jerzewski

LPL ENTERPRISE, LLC

IAR

TROY, MI

Lyndon Davis

LIGHTSQUARE WEALTH MANAGEMENT, LLC

IAR

Farmington Hills, MI

Michael Delap

OSAIC WEALTH, INC.

SCOTTSDALE, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard W. Paul

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard William Paul's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLEGIANT FINANCIAL ADVISORS, LLC

ALLEGIANT SECURITIES L.L.C.

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

QUESTAR CAPITAL CORPORATION

SUNAMERICA SECURITIES, INC.

OSAIC WEALTH, INC.

NORTH AMERICAN MANAGEMENT, INC.

MONARCH SECURITIES, INC.

MONARCH SECURITIES, INC.

MARINER FINANCIAL SERVICES, INC.

MUTUAL SERVICE CORPORATION

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

RICHARD W. PAUL & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/23/1999

Series 63

Date: 2/9/1983

Series 7

Date: 9/15/2004

Series 22

Date: 9/4/1984

Series 6

Date: 11/29/1982

Current Firm

RICHARD W. PAUL & ASSOCIATES, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RICHARD W. PAUL & ASSOCIATES, LLC

TRUST BUT VERIFY

Similar Advisors