Tristan F. Grinsell

RICHARD W. PAUL & ASSOCIATES

Novi, MI 48375

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CRD#: 6965098

Professional summary

Tristan Francis Grinsell is a registered financial advisor currently at RICHARD W. PAUL & ASSOCIATES, LLC located in Novi, Michigan.

Tristan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Tristan has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Richard W. Paul & Associates, LLC; investment related; Novi, MI; Insurance; Client Service Specialist/Insurance Agent; started 10/2021; approx 7.5 hrs per month; 1.5 during trading hours; assist in servicing annuity clients accounts.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tristan Francis Grinsell'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®

None

Experience

Current

September 28, 2021 - Present

RICHARD W. PAUL & ASSOCIATES, LLC

Office #1: 39555 Orchard Hill Place Suite 100, Novi, MI 48375

RIA

CRD#: 156812

Novi, MI

Past

November 2, 2020 - August 3, 2021

OSAIC WEALTH, INC.

RIA

CRD#: 23131

SOUTHFIELD, MI

Past

November 2, 2020 - August 3, 2021

OSAIC WEALTH, INC.

CRD#: 23131

SOUTHFIELD, MI

Past

November 21, 2019 - November 6, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

FARMINGTON HILLS, MI

Past

August 5, 2019 - November 6, 2020

LPL FINANCIAL LLC

CRD#: 6413

FARMINGTON HILLS, 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".

RICHARD W. PAUL & ASSOCIATES, LLC

PAUL, RICHARD WILLIAM | RICHARD W. PAUL & ASSOCIATES, LLC | RICHARD W. PAUL & ASSOCIATES

CRD#: 156812 / SEC#: 801-116985

RIA

Registered Investment Advisory firm - (7/23/2019 Approved)

Michigan

Registered Investment Advisory firm - (8/13/2019 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

Michigan
(9/28/2021)

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 66

Date: 11/18/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/5/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/26/2019

Securities Industry Essentials Examination

Current Firm

RICHARD W. PAUL & ASSOCIATES, LLC

PAUL, RICHARD WILLIAM | RICHARD W. PAUL & ASSOCIATES, LLC | RICHARD W. PAUL & ASSOCIATES

CRD#: 156812 / SEC#: 801-116985

RIA

Registered Investment Advisory firm - (7/23/2019 Approved)

Michigan

Registered Investment Advisory firm - (8/13/2019 Terminated)

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Contact information

Main Address

39555 Orchard Hill Place Suite 100, Novi, MI 48375

Mailing Address

Phone number

(248) 305-9911

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A AND 2B - SEC (3/13/2025)

Regulatory assets under management

Total Number of Accounts	1,800
AUM (Assets Under Management)	$ 323,337,711

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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Advisor Monitoring

Firm Stability Insights

Tristan F. Grinsell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tristan Francis Grinsell's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

RICHARD W. PAUL & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/18/2019

Series 7TO

Date: 8/5/2019

SIE

Date: 4/26/2019

Current Firm

RICHARD W. PAUL & ASSOCIATES, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RICHARD W. PAUL & ASSOCIATES, LLC

TRUST BUT VERIFY

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