Bepin Serraj

RICHARD W. PAUL & ASSOCIATES

Novi, MI 48375

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CRD#: 6973794

Professional summary

Bepin Serraj, CFA is a registered financial advisor currently at RICHARD W. PAUL & ASSOCIATES, LLC located in Novi, Michigan.

Bepin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Bepin has worked at 1 firm and has passed the Series 65 exam.

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 05/2018; 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 Bepin Serraj'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®

CFA

Chartered Financial Analyst

Experience

Current

June 25, 2018 - Present

RICHARD W. PAUL & ASSOCIATES, LLC

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

RIA

CRD#: 156812

Novi, 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
(6/25/2018)

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 65

Date: 6/8/2018

Uniform Investment Adviser Law 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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Bepin Serraj

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bepin Serraj's CRS (Customer Relationship Summary).

Certified licenses

Experience

RICHARD W. PAUL & ASSOCIATES, LLC

Primary Firm SEC Registration

RICHARD W. PAUL & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/8/2018

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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