DC
Debora A. Caley
RICHWOOD INVESTMENT ADVISORS
Cincinnati, OH 45226
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CRD#: 2961803
DC
Professional summary
Debora Ann Caley, CPWA®, who also goes by Debora Ann Aragi, Debora Ann Lockenwitz, is a registered financial advisor currently at RICHWOOD INVESTMENT ADVISORS, LLC located in Cincinnati, Ohio.
Debora is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Debora has worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Debora Ann Aragi | Debora Ann Lockenwitz
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.
1.) Richwood Investment Advisors, LLC; 100% Owner; 40+ hours a week during investment hours. 2.) Richwood Wooster, LLC (real estate, non-conflict); 100% Owner; non-investment related; no income; 1 hour per week during non-investment hours 3.) Arayje Design, LLC (wholesale office furniture, non-conflict); 100% Owner; non-investment related; no income; 1 hour per week during non-investment hours 4.) Fish Tales, LLC (real estate, non-conflict); 100% Owner; non-investment related; no income; 1 hour per week during non-investment hours 5.) Georgia Bound, LLC (real estate, non-conflict); 100% Owner; non-investment related; no income; 1 hour per week during non-investment hours 6.) Linger Longer, LLC (real estate, non-conflict); 100% Owner; non-investment related; no income; 1 hour per week during non-investment hours 7.) Aragi Properties, LLC (real estate, non-conflict); 100% Owner; non-investment related; no income; 1 hour per week during non-investment hours 8.) Reading Unit 5 LLC (real estate, non-conflict); 100% Owner; non-investment related; no income; 1 hour per week during non-investment hours
CRS (Client Relationship Summary) - RIA
Click below to view Debora Ann Caley's 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®
CPWA®
Start date: 2014-11-12
Expire date: 2024-10-31
Experience
Current
April 14, 2010 - Present
RICHWOOD INVESTMENT ADVISORS, LLC
Office #1: 5082 Wooster Road Suite 100, Cincinnati, OH 45226RIA
CRD#: 153550
Cincinnati, OH
Past
January 24, 2008 - April 30, 2010
EVANS FINANCIAL GROUP, INC.
RIA
CRD#: 119834
CINCINNATI, OH
Past
December 13, 2007 - January 23, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
CINCINNATI, OH
Past
December 7, 2007 - April 30, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
CINCINNATI, OH
Past
March 23, 2005 - October 31, 2007
RIVERPOINT CAPITAL MANAGEMENT, INC.
RIA
CRD#: 109068
CINCINNATI, OH
Past
November 12, 2004 - January 21, 2005
ALPHAMARK ADVISORS, LLC
RIA
CRD#: 109366
FT. MITCHELL, KY
Past
January 1, 2000 - March 5, 2004
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
CINCINNATI, OH
Past
January 3, 1998 - March 5, 2004
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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".
RI
RICHWOOD INVESTMENT ADVISORS, LLC
RICHWOOD INVESTMENT ADVISORS, LLC
CRD#: 153550 / SEC#: 801-121520
RIA
Registered Investment Advisory firm - (6/17/2021 Approved)Kentucky
Registered Investment Advisory firm - (9/2/2021 Terminated)Ohio
Registered Investment Advisory firm - (9/3/2021 Terminated)Texas
Registered Investment Advisory firm - (9/2/2021 Terminated)Virginia
Registered Investment Advisory firm - (9/4/2021 Terminated)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
Ohio(4/14/2010)
IAR
Texas(9/6/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
RI
RICHWOOD INVESTMENT ADVISORS, LLC
RICHWOOD INVESTMENT ADVISORS, LLC
CRD#: 153550 / SEC#: 801-121520
RIA
Registered Investment Advisory firm - (6/17/2021 Approved)Kentucky
Registered Investment Advisory firm - (9/2/2021 Terminated)Ohio
Registered Investment Advisory firm - (9/3/2021 Terminated)Texas
Registered Investment Advisory firm - (9/2/2021 Terminated)Virginia
Registered Investment Advisory firm - (9/4/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5082 Wooster Road Suite 100, Cincinnati, OH 45226
Mailing Address
Phone number
(513) 871-0123
Established
Firm type
Fiscal year end
# of Employees
1
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 442 |
| AUM (Assets Under Management) | $ 137,442,911 |
Red Flags
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Company Information
RICHWOOD INVESTMENT ADVISORS, LLC
CRD#: 153550Cincinnati, OH 45226TRUST BUT VERIFY
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