Alex Seth Paul
Professional Summary
Alex Seth Paul, who also goes by Alex Paul, is a registered financial advisor currently at FARTHER located in Birmingham, Michigan and FARTHER SECURITIES, LLC located in New York, New York. Alex is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Alex has worked at 4 firms and has passed the Series 65, Series 63, Series 22TO, Series 86, Series 87, Series 57TO, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alex Paul
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
11 years in the financial services industry
Current & Past Employments
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Current Firm
BELLINGHAM CAPITAL MANAGEMENT | SIGNALPOINT ASSET MANAGEMENT | PLEASANT STREET WEALTH | ONESOURCE WEALTH MANAGEMENT POWERED BY FARTHER | NORTH SISTER WEALTH | MTP PRIVATE WEALTH | GUILD INVESTMENT MANAGEMENT | FORTRESS WEALTH MANAGEMENT, INC. | FARTHER FINANCE ADVISORS, LLC | FARTHER | CROOKED TREE CAPITAL ADVISORS | C.H. DOUGLAS & GRAY WEALTH MANAGEMENT
Contact Information
Main Address
345 California Street Suite 600, San Francisco, CA 94104Phone Number
(628) 246-8004# of Employees
571SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
44,421AUM (Assets Under Management)
$16,010,112,152Similar Advisors
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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.
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Primary Firm SEC Registration
BELLINGHAM CAPITAL MANAGEMENT | SIGNALPOINT ASSET MANAGEMENT | PLEASANT STREET WEALTH | ONESOURCE WEALTH MANAGEMENT POWERED BY FARTHER | NORTH SISTER WEALTH | MTP PRIVATE WEALTH | GUILD INVESTMENT MANAGEMENT | FORTRESS WEALTH MANAGEMENT, INC. | FARTHER FINANCE ADVISORS, LLC | FARTHER | CROOKED TREE CAPITAL ADVISORS | C.H. DOUGLAS & GRAY WEALTH MANAGEMENT
State Registrations and Notice Filings
(11/19/2024)
(11/19/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22TO — Direct Participation Programs Representative Examination
Passed Sep 2026About the Series 22TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Sep 2026About the Series 87 examSeries 82TO — Limited Representative-Private Securities Offerings
Passed Sep 2026About the Series 82TO examSeries 52TO — Municipal Securities Representative Examination
Passed Sep 2026About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Sep 2026About the Series 79TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2015About the Series 6 examSeries 39 — Direct Participation Programs Principal Examination
Passed Sep 2026About the Series 39 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Sep 2026About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Sep 2026About the Series 9 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Apr 2017About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Alex Seth Paul's CRS (Customer Relationship Summary).
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