AP
Alex S. Paul
FARTHER
Birmingham, MI
Some features on this profile are disabled
CRD#: 6435641
AP
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
Are you a "fiduciary"?
Yes
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.
(1)GLP Property and Casualty. Investment-related. Address: 33335 Grand River Ave, Farmington, MI 48336. Nature: Property and casualty insurance brokerage. Position: Licensed principal through GLP P&C. Start Date: 7/1/18. Hours devoted per week: 8. Duties: Maintain files as well as review and sign off on all business. serve as DRLP for Agency. Supervise P&C Insurance agents and maintain records for compliance. (2) 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. (3) 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. (4)BIRMINGHAM PLACE MASTER ASSOCIATION; NOT INVESTMENT RELATED; BIRMINGHAM, MI; NATURE: COMMERCIAL REAL ESTATE; POSITION: PRESIDENT/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. (5) GLP & ASSOCIATES, INVESTMENT RELATED, 33335 GRAND RIVER AVE. FARMINGTON MI, NATURE: LIFE INSURANCE/ANNUITY SALES, POSITION: INSURANCE AGENT, START DATE: 06/2014 APX. HOURS PER MONTH: 5 HRS, DURING TRADING HOURS, DUTIES: LIFE INSURANCE AND FIXED/INDEX ANNUITY SALES AND SERVICING INSURANCE CLIENTS. (6) ASSET ALLOCATION STRATEGIES, LLC. INVESTMENT RELATED. 33335 GRAND RIVER AVE. FARMINGTON MI. NATURE: INVESTMENT ADVISOR. POSITION: INVESTMENT ADVISOR/DIRECTOR OF THE INVESTMENT COMMITTEE AND PORTFOLIO MANAGEMENT. START DATE: 08/2015. APX. HOURS PER MONTH: 120, 90 DURING TRADING HOURS. DUTIES: PORTFOLIO MANAGEMENT, MONITOR FIRM MODELS, DUE DILIGENCE ON PRODUCTS INCLUDING OUTSIDE ASSET MANAGERS, DET FIRM LEVEL CAPITAL MARKET EXPECTATIONS, SUPERVISION OF IAR ADVISORY ACTIVITIES, REVIEW OF CLIENT ACCOUNTS,
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
FARTHER | SIGNALPOINT ASSET MANAGEMENT | PLEASANT STREET WEALTH | ONESOURCE WEALTH MANAGEMENT POWERED BY FARTHER | MASSO TORRENCE WEALTH MANAGEMENT INC. | GUILD INVESTMENT MANAGEMENT | FARTHER FINANCE ADVISORS, LLC
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
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 10/9/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 9/25/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 8/25/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 22TO
Date: 5/9/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 5/8/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 7TO
Date: 5/6/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/12/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
FA
FARTHER
FARTHER | SIGNALPOINT ASSET MANAGEMENT | PLEASANT STREET WEALTH | ONESOURCE WEALTH MANAGEMENT POWERED BY FARTHER | MASSO TORRENCE WEALTH MANAGEMENT INC. | GUILD INVESTMENT MANAGEMENT | FARTHER FINANCE ADVISORS, LLC
CRD#: 302050 / SEC#: 801-116721
RIA
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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
275
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
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.
