RB
Richard T. Barber
PROVIDENT LIVING FINANCIAL SERVICES
Lehi, UT 84043
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CRD#: 4566084
RB
Professional summary
Richard Tom Barber, who also goes by Richard T. Barber, Richard T. Barber, is a registered financial advisor currently at PROVIDENT LIVING FINANCIAL SERVICES located in Lehi, Utah.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Richard has worked at 4 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard T. Barber | Richard T. Barber
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.
RENTAL PROPERTY; INVESTMENT RELATED; SOUTH JORDAN, UT; 100% OWNERSHIP; START DATE 3/13/2013; 1 HOUR PER MONTH; 0 HOURS DURING TRADING; DUTIES ARE PROPERTY OWNER/LANDLORD. RB FINANCIAL ADVOCACY, LLC; MANAGING MEMBER; START DATE 01/2022; DUTIES; ADMIN AND OPERATING SUPPORT FOR PROVIDENT LIVING FINANCIAL SERVICES, INC. AND UNAFFILIATED RIAS; LESS THAN 5% OF TIME SPENT ON THIS BUSINESS PRACTICE. Welfie, LLC; Board of Directors; Non investment related; start date 01/2024; licenses technology platforms; less than 4% of time.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Tom Barber'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
July 26, 2016 - Present
PROVIDENT LIVING FINANCIAL SERVICES
Office #1: 3450 N Triumph Blvd. Suite 102, Lehi, UT 84043RIA
CRD#: 282665
Lehi, UT
Past
April 27, 2010 - July 25, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
ATWATER, CA
Past
April 23, 2010 - July 25, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ATWATER, CA
Past
January 8, 2004 - May 4, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MODESTO, CA
Past
January 8, 2004 - May 4, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MODESTO, CA
Past
January 7, 2003 - December 4, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
MERCED, CA
Past
September 27, 2002 - December 12, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
PL
PROVIDENT LIVING FINANCIAL SERVICES
PROVIDENT LIVING FINANCIAL SERVICES | SAGE WEALTH ADVISORS CENTRAL CALIFORNIA INC. | PROVIDENT LIVING FINANCIAL SERVICES, INC.
CRD#: 282665 / SEC#: 801-132694
RIA
Registered Investment Advisory firm - (5/15/2025 Approved)California
Registered Investment Advisory firm - (6/27/2025 Terminated)Idaho
Registered Investment Advisory firm - (5/30/2025 Terminated)Texas
Registered Investment Advisory firm - (5/28/2025 Terminated)Utah
Registered Investment Advisory firm - (5/29/2025 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
California(7/26/2016)
IAR
Idaho(9/16/2016)
IAR
Texas(7/21/2017)
IAR
Utah(8/3/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
PL
PROVIDENT LIVING FINANCIAL SERVICES
PROVIDENT LIVING FINANCIAL SERVICES | SAGE WEALTH ADVISORS CENTRAL CALIFORNIA INC. | PROVIDENT LIVING FINANCIAL SERVICES, INC.
CRD#: 282665 / SEC#: 801-132694
RIA
Registered Investment Advisory firm - (5/15/2025 Approved)California
Registered Investment Advisory firm - (6/27/2025 Terminated)Idaho
Registered Investment Advisory firm - (5/30/2025 Terminated)Texas
Registered Investment Advisory firm - (5/28/2025 Terminated)Utah
Registered Investment Advisory firm - (5/29/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3450 N Triumph Blvd. Suite 102, Lehi, UT 84043
Mailing Address
Phone number
(801) 753-5639
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 465 |
| AUM (Assets Under Management) | $ 130,387,563 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
