BT
Barbara Trombley
TROMBLEY ASSOCIATES
Wilbraham, MA 01095
Some features on this profile are disabled
CRD#: 5611841
BT
Professional summary
Barbara Trombley is a registered financial advisor currently at TROMBLEY ASSOCIATES located in Wilbraham, Massachusetts and LPL FINANCIAL LLC located in Wilbraham, Massachusetts.
Barbara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Barbara has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 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. 08/08/2016 - Business Entity For Tax/Investment Purposes Only - Wilbraham MA 2. 08/08/2016: Trombley Associates - Non-Variable Insurance - 85 Post Office Park, Wilbraham MA 01095 3. 08/08/2016 - Trombley Associates - DBA for LPL Business (entity for LPL business) - Investment Related - 85 Post Office Park, Wilbraham MA 01095 4. 08/08/2016 - Minnechauq Scholarship Foundation - Non-Profit Board Member - Wilbramm MA - Start date: 10/1/2013 - 2 hrs/mnth 5. 10/24/2016 - A&C Business Services - Business Owner - Wilbraham, MA - Start date: 01/1/2017 - 5 hrs/mnth 6. 07/31/2017 - WMass Business Services - Business Entity For Tax/Investment Purposes Only - Not Inv Rel - Wilbraham, MA - Start date: 01/20/2017 - 5 hrs/mnth 7. 1/25/2019 - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Started 02/01/2019 - 4 Hours Per Month/0 Hours During Securities Trading. 8. 3/4/2019 - Boston Road 2030 LLC - Not Investment Related - Business Entity For Tax/Investment Purposes Only - Started 01/01/2019 - 1 Hour Per Month/0 Hours During Securities Trading. 9. 6/15/2021 - Ray Trombley Associates - DBA: Trombley Associates - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 06/04/2021 - 80 Hours Per Month During Securities Trading - Time Spent 50% - I provide investment advisory services thru Trombley Associates, an independent investment advisor firm. I started this business activity in 06/2021. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 10. 08/13/2025 - Trombley Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start date: 10/01/2025 - 160 hrs/mnth 8 hrs during trading
CRS (Client Relationship Summary) - RIA
Click below to view Barbara Trombley'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
June 4, 2021 - Present
TROMBLEY ASSOCIATES
Office #1: 85 Post Office Park Suite 8524, Wilbraham, MA 01095RIA
CRD#: 312536
Wilbraham, MA
Current
August 8, 2016 - Present
LPL FINANCIAL LLC
Office #1: 2022 Boston Rd., Wilbraham, MA 01095RIA
BD
CRD#: 6413
WILBRAHAM, MA
Past
August 15, 2016 - November 4, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
Wilbraham, MA
Past
August 8, 2011 - August 9, 2016
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
WILBRAHAM, MA
Past
April 30, 2009 - August 8, 2016
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
WILBRAHAM, MA
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(8/8/2016)
RR
California(2/23/2021)
RR
Connecticut(8/8/2016)
IAR
Connecticut(7/1/2021)
RR
Florida(8/8/2016)
IAR
Florida(7/26/2021)
RR
Kansas(8/8/2016)
RR
Maine(8/8/2016)
IAR
Maine(4/5/2022)
RR
Massachusetts(8/8/2016)
IAR
Massachusetts(6/4/2021)
RR
Michigan(8/8/2016)
RR
Montana(8/24/2017)
RR
New Hampshire(8/8/2016)
RR
New Jersey(4/23/2025)
RR
New York(5/7/2019)
RR
North Carolina(9/17/2020)
RR
Pennsylvania(8/8/2016)
RR
Rhode Island(8/8/2016)
RR
South Carolina(8/8/2016)
RR
Tennessee(11/7/2017)
RR
Vermont(8/8/2016)
IAR
Vermont(1/13/2022)
RR
Virginia(8/8/2016)
RR
Washington(6/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TROMBLEY ASSOCIATES
RAY TROMBLEY ASSOCIATES, LLC | TROMBLEY ASSOCIATES
CRD#: 312536 / SEC#:
Connecticut
Registered Investment Advisory firm - (7/1/2021 Approved)Florida
Registered Investment Advisory firm - (7/26/2021 Approved)Maine
Registered Investment Advisory firm - (4/5/2022 Approved)Massachusetts
Registered Investment Advisory firm - (6/4/2021 Approved)Vermont
Registered Investment Advisory firm - (1/13/2022 Approved)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
85 Post Office Park Suite 8524, Wilbraham, MA 01095
Mailing Address
Phone number
(413) 596-6992
Established
Firm type
Fiscal year end
# of Employees
4
Regulatory assets under management
| Total Number of Accounts | 413 |
| AUM (Assets Under Management) | $ 70,064,000 |
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
TROMBLEY ASSOCIATES
CRD#: 312536Wilbraham, MA 01095TRUST BUT VERIFY
Monitor Barbara Trombley
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
