RB
Richard J. Barden
ASSET ALLOCATION STRATEGIES
SOUTH HAVEN, MI 49090
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CRD#: 4124175
RB
Professional summary
Richard James Barden is a registered financial advisor currently at ASSET ALLOCATION STRATEGIES, LLC located in South Haven, Michigan and GLP INVESTMENT SERVICES, LLC located in South Haven, Michigan.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
#1. BARDEN FARM AND FARM MARKETS, LLC, NOT INVESTMENT-RELATED. FORMED 4/2011, MEMBER 50%. FROM MAY THROUGH SEPTEMBER, 50% OF TIME SPENT WORKING ON FAMILY FARM DURING MAY TO OCTOBER. FARMING/SELLING CROPS. #2. R&L PROPERTIES. NOT INVESTMENT-RELATED. ADDRESS: SOUTH HAVEN, MI. NATURE: LEASING COMPANY (LEASE SPACE AS MIDDLE MAN BETWEEN BUSINESS AND PROPERTY OWNER). POSITION: OWNER. START DATE: 04/2011. HOURS PER MONTH: LESS THAN 1. DUTIES: LEASE SPACE TO BUSINESS. #3. GLP & ASSOCIATES, INVESTMENT RELATED, SOUTH HAVEN, MI, NATURE: LIFE INSURANCE/ANNUITY SALES, POSITION: INSURANCE AGENT, START DATE: NOVEMBER 1999, APX 80 HRS/MO., 70 HRS DURING TRADING HOURS, DUTIES: LIFE INSURANCE AND FIXED/INDEX ANNUITY SALES AND SERVICING INSURANCE CLIENTS. #4. ASSET ALLOCATION STRATEGIES, LLC; INVESTMENT RELATED; LOCATED AT SOUTH HAVEN MI, SUPERVISED FROM FARMINGTON, MI; NATURE: INVESTMENT ADVISOR; POSITION: IAR; START DATE: 01/2011; APX 15 HRS/MO., DURING TRADING HOURS; DUTIES: SOLICIT, SERVICE, ACTIVELY MANAGE ADVISORY ACCOUNTS/CLIENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Richard James Barden'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®
NoneExperience
Current
January 26, 2011 - Present
ASSET ALLOCATION STRATEGIES, LLC
Office #1: 256 Center St., South Haven, MI 49090RIA
CRD#: 152339
SOUTH HAVEN, MI
Current
October 23, 2000 - Present
GLP INVESTMENT SERVICES, LLC
Office #1: 256 Center Street, South Haven, MI 49090BD
CRD#: 25450
South Haven, MI
Past
February 23, 2000 - October 25, 2000
AMERICAN CAPITAL CORPORATION
BD
CRD#: 16124
VALLEY FORGE, PA
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".
AA
ASSET ALLOCATION STRATEGIES, LLC
ASSET ALLOCATION STRATEGIES, LLC
CRD#: 152339 / SEC#: 801-106707
RIA
Registered Investment Advisory firm - (9/28/2015 Approved)Massachusetts
Registered Investment Advisory firm - (3/30/2021 Terminated)Michigan
Registered Investment Advisory firm - (3/30/2021 Terminated)Vermont
Registered Investment Advisory firm - (6/14/2018 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/3/2025)
RR
Colorado(9/3/2013)
RR
Florida(2/24/2020)
RR
Georgia(1/3/2025)
RR
Illinois(12/1/2023)
RR
Indiana(10/15/2014)
RR
Louisiana(1/3/2025)
RR
Michigan(10/23/2000)
IAR
Michigan(1/26/2011)
RR
Missouri(1/3/2025)
RR
North Carolina(1/3/2025)
RR
Oklahoma(1/11/2024)
RR
Oregon(12/1/2023)
RR
South Carolina(1/22/2024)
RR
Wisconsin(1/28/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AA
ASSET ALLOCATION STRATEGIES, LLC
ASSET ALLOCATION STRATEGIES, LLC
CRD#: 152339 / SEC#: 801-106707
RIA
Registered Investment Advisory firm - (9/28/2015 Approved)Massachusetts
Registered Investment Advisory firm - (3/30/2021 Terminated)Michigan
Registered Investment Advisory firm - (3/30/2021 Terminated)Vermont
Registered Investment Advisory firm - (6/14/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
33335 Grand River, Farmington, MI 48336
Mailing Address
Phone number
(248) 489-0101
Established
Firm type
Fiscal year end
# of Employees
39
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,883 |
| AUM (Assets Under Management) | $ 767,431,598 |
Red Flags
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Company Information
ASSET ALLOCATION STRATEGIES, LLC
CRD#: 152339South Haven, MI 49090TRUST BUT VERIFY
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