Henry N. Barringer

ALPHA FINANCIAL ADVISORS

Charlotte, NC 28277-0524

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CRD#: 5896660

Professional summary

Henry Nicholson Barringer, CFP®, who also goes by Nick Barringer, is a registered financial advisor currently at ALPHA FINANCIAL ADVISORS, LLC located in Charlotte, North Carolina.

Henry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Henry has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick Barringer

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) - RIA

Click below to view Henry Nicholson Barringer's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

October 7, 2013 - Present

ALPHA FINANCIAL ADVISORS, LLC

Office #1: 11325 N Community House Rd Suite #410, Charlotte, NC 28277-0524

RIA

CRD#: 122545

Charlotte, NC

Past

July 29, 2011 - July 29, 2013

CREDIT UNION INVESTMENT SERVICES

RIA

CRD#: 144871

CHARLOTTE, NC

Past

May 11, 2011 - July 29, 2013

SECU BROKERAGE SERVICES

CRD#: 19899

CHARLOTTE, NC

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".

ALPHA FINANCIAL ADVISORS, LLC

CRD#: 122545 / SEC#: 801-79666

RIA

Registered Investment Advisory firm - (5/6/2014 Approved)

Florida

Registered Investment Advisory firm - (5/12/2014 Terminated)

North Carolina

Registered Investment Advisory firm - (5/12/2014 Terminated)

South Carolina

Registered Investment Advisory firm - (5/12/2014 Terminated)

Texas

Registered Investment Advisory firm - (5/12/2014 Terminated)

Virginia

Registered Investment Advisory firm - (9/4/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

North Carolina
(10/7/2013)

IAR

Texas
(12/24/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/28/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/2/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 5/10/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALPHA FINANCIAL ADVISORS, LLC

CRD#: 122545 / SEC#: 801-79666

RIA

Registered Investment Advisory firm - (5/6/2014 Approved)

Florida

Registered Investment Advisory firm - (5/12/2014 Terminated)

North Carolina

Registered Investment Advisory firm - (5/12/2014 Terminated)

South Carolina

Registered Investment Advisory firm - (5/12/2014 Terminated)

Texas

Registered Investment Advisory firm - (5/12/2014 Terminated)

Virginia

Registered Investment Advisory firm - (9/4/2007 Terminated)

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Contact information

Main Address

11325 N Community House Rd Suite #410, Charlotte, NC 28277-0524

Mailing Address

Phone number

(704) 716-1100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-6-27 ADV FIRM BROCHURE (6/27/2025)

Regulatory assets under management

Total Number of Accounts	1,473
AUM (Assets Under Management)	$ 503,100,285

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2024	Cover Page	Report
12/20/2023	Cover Page	Report
01/28/2023	Cover Page	Report

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.

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Henry N. Barringer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Henry Nicholson Barringer's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPHA FINANCIAL ADVISORS, LLC

CREDIT UNION INVESTMENT SERVICES

SECU BROKERAGE SERVICES

Primary Firm SEC Registration

ALPHA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/28/2011

Series 63

Date: 6/2/2011

Series 6

Date: 5/10/2011

Current Firm

ALPHA FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALPHA FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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