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LB

Lance E. Barba

Some features on this profile are disabled
CRD#: 2654345
LB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Lance Elliott Barba was a registered financial professional .

Lance is a previously registered financial professional and started their career in finance in 1999. Lance had worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 11, 2017 - October 27, 2017

RICHARD W. PAUL & ASSOCIATES, LLC

RIA
CRD#: 156812
NOVI, MI
Past

April 13, 2012 - November 28, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CLINTON TOWNSHIP, MI
Past

April 11, 2012 - November 28, 2012

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CLINTON TOWNSHIP, MI
Past

September 28, 2010 - February 23, 2012

LPL FINANCIAL LLC

RIA
CRD#: 6413
STERLING HEIGHTS, MI
Past

February 1, 2010 - February 23, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
STERLING HEIGHTS, MI
Past

June 26, 2007 - January 7, 2010

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
HARPER WOODS, MI
Past

June 16, 2005 - June 8, 2007

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
HARPER WOODS, MI
Past

June 10, 2004 - May 3, 2005

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
MINNEAPOLIS, MN
Past

July 30, 2002 - June 9, 2004

SIGMA FINANCIAL CORPORATION

BD
CRD#: 14303
ANN ARBOR, MI
Past

March 28, 2002 - June 10, 2002

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

March 28, 2002 - June 10, 2002

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

December 20, 2000 - March 19, 2002

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
WORCESTER, MA
Past

April 16, 1999 - October 26, 2000

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 16, 1999 - October 26, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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".
RW
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)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/2/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/21/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 9/24/2004
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/23/2004
General Securities Principal Examination

Current Firm

RW
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)
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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
9

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts1,800
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.

Company Information

RICHARD W. PAUL & ASSOCIATES, LLC

CRD#: 156812

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