AP
Alex S. Paul
FARTHER
Birmingham, MI
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CRD#: 6435641
AP
Alex Seth PaulFARTHER
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 3, 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.
At a Glance
Always Fiduciary
Aliases
Alex Paul
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.
CRANBROOK EDUCATIONAL COMMUNITY (CEC)/CRANBROOK SCHOOLS BOARD OF GOVERNORS; NOT INVESTMENT RELATED; 39221 WOODWARD AVE, BLOOMFIELD HILLS MI; NATURE: NON-PROFIT, SERVICES AS ADVISORY BOARD TO CEC BOARD OF TRUSTEES; POSITION: MEMBER/BOARD OF GOVERNORS AND INVESTMENT/FINANCE & ADVANCEMENT COMMITTEES; START: 7/2022; APX. HOURS PER MONTH: 5, NOT DURING TRADING HOURS; DUTIES: These Boards and committees provide advice and counsel to the School's Faculty and to the Board of Trustees regarding Cranbrook's financial policies and practices. Membership on these committees are not fiduciary positions. FINRA NEUTRAL ROSTER ARBITRATOR; NOT INVESTMENT RELATED; NATURE: FINRA; POSITION: NON-PROFIT, NEUTRAL ROSTER ARBITRATOR; START: 6/2021; APX. HOURS PER MONTH: 2-3, DURING TRADING HOURS; DUTIES: SERVE ON ARBITRATION CASES. CONDOMINIUMS AT BIRMINGHAM PLACE MASTER ASSOICATION; NOT INVESTMENT RELATED; BIRMINGHAM, MI; NATURE: COMMERCIAL REAL ESTATE; POSITION: TREASURER/CHAIR BOARD OF DIRECTORS; START: 7/2022; APX. HOURS PER MONTH: 5, NOT DURING TRADING HOURS; DUTIES: BOARD MEETINGS, SIGN CONTRACTS, MAINTAIN AND REVIEW FINANCIAL BOOKS AND RECORDS. BIRMINGHAM PLACE RESIDENTIAL ASSICATION; NOT INVESTMENT RELATED; BIRMINGHAM, MI; NATURE: RESIDENTIAL REAL ESTATE; POSITION: TREASURER/CHAIR BOARD OF DIRECTORS; START: 7/2022; APX. HOURS PER MONTH: 5, NOT DURING TRADING HOURS; DUTIES: BOARD MEETINGS, SIGN CONTRACTS, MAINTAIN AND REVIEW FINANCIAL BOOKS AND RECORDS. FARTHER FINANCE ADVISORS, LLC; INVESTMENT RELATED; SAN FRANSICO, CA; NATURE: REGISTERED INVESTMENT ADVISER; POSITION: DIRECTOR, ADVISOR INVESTMENT STRATEGY; START: 9/2024; APX. HOURS PER MONTH: 100, WITH 80 DURING TRADING HOURS; DUTIES: PRODUCT AND INVESTMENT MANAGER DUE DILLIGENCE. SET FIRM WIDE CAPITAL MARKET ASSUMPTIONS. PRODUCES MARKET COMMENTARY. PERFORMS RISK MANAGEMENT AND OVERSITE OF ADVISOR PORTFOLIO DEVELEMOPMENT AND IMPLEMENTATION. OVERSEES ASSET ALLOCATION DECISIONS AND DEVELOPS FIRM WIDE STRATEGIC ASSET ALLOCATION . SITS ON FIRM AND RELATED FIRM'S INVESTMENT COMMITEES.
CRS (Client Relationship Summary) - RIA
Click below to view Alex Seth Paul'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
November 19, 2024 - Present
FARTHER
RIA
CRD#: 302050
Birmingham, MI
Past
August 20, 2015 - February 27, 2024
ASSET ALLOCATION STRATEGIES, LLC
RIA
CRD#: 152339
FARMINGTON, MI
Past
January 27, 2015 - February 27, 2024
GLP INVESTMENT SERVICES, LLC
BD
CRD#: 25450
Farmington, MI
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".
FA
FARTHER
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
CRD#: 302050 / SEC#: 801-116721
RIA
Registered Investment Advisory firm - (7/19/2019 Approved)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
Michigan(11/19/2024)
IAR
Texas(11/19/2024)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
PR
Series 52TO
Passed: 10/9/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
PR
Series 57TO
Passed: 9/25/2023
Securities Trader ExamGeneral Industry/Product Exam
PR
Series 79TO
Passed: 8/25/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
PR
Series 22TO
Passed: 5/9/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
PR
Series 82TO
Passed: 5/8/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
PR
Series 7TO
Passed: 5/6/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
PR
Series 99TO
Passed: 1/12/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
PR
Series 6
Passed: 1/27/2015
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
PR
Series 10
Passed: 7/31/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
PR
Series 9
Passed: 7/25/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
PR
Series 26
Passed: 4/4/2017
Investment Company Products/Variable Contracts Principal Examination
Current Firm
FA
FARTHER
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
CRD#: 302050 / SEC#: 801-116721
RIA
Registered Investment Advisory firm - (7/19/2019 Approved)Loading...
Contact information
Main Address
345 California Street Suite 600, San Francisco, CA 94104
Mailing Address
Phone number
(628) 246-8004
Established
Firm type
Fiscal year end
# of Employees
571
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 44,421 |
| AUM (Assets Under Management) | $ 16,010,112,152 |
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.
