Alex S. Paul
Professional summary
Alex Seth Paul, who also goes by Alex Paul, is a registered financial advisor currently at FARTHER located in Birmingham, Michigan.
Alex is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Alex has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, Series 79TO, Series 87, Series 22TO, Series 82TO, Series 7TO, Series 99TO, Series 16, SIE, Series 6, Series 51, Series 53, Series 10, Series 9, Series 4, Series 39, Series 14, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alex Seth Paul's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 19, 2024 - Present
FARTHER
August 20, 2015 - February 27, 2024
ASSET ALLOCATION STRATEGIES, LLC
January 27, 2015 - February 27, 2024
GLP INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
FARTHER
CRD#: 302050 / SEC#: 801-116721
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/19/2024)
(11/19/2024)
Exams
Series 52TO
Date: 10/9/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 9/25/2023
Securities Trader ExamSeries 79TO
Date: 8/25/2023
Investment Banking Registered Representative ExaminationSeries 22TO
Date: 5/9/2023
Direct Participation Programs Representative ExaminationSeries 82TO
Date: 5/8/2023
Limited Representative-Private Securities OfferingsSeries 7TO
Date: 5/6/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/12/2023
Operations Professional ExaminationCurrent Firm
FARTHER
CRD#: 302050 / SEC#: 801-116721
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 24,245 |
| AUM (Assets Under Management) | $ 7,523,810,877 |
Red Flags
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