Chad W. Lively

LIVELY FINANCIAL LLC

Newport, KY

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CRD#: 7292693

Professional summary

Chad William Lively, who also goes by Chad W Lively, is a registered financial advisor currently at LIVELY FINANCIAL LLC located in Newport, Kentucky.

Chad is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Chad has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chad W Lively

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.

Although Chad William Lively has an active insurance license, he will not offer insurance products to clients in order to avoid potential conflicts of interest related to the sales of insurance products. Chad William Lively is a Tax Expert at Intuit. Investment related: No; Description of the business: Tax Support; Start date with business: 2025-02-24.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chad William Lively'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®

None

Experience

Current

January 24, 2023 - Present

LIVELY FINANCIAL LLC

RIA

CRD#: 324940

Newport, KY

Past

March 3, 2021 - November 23, 2022

TOUCHSTONE ADVISORS INC

RIA

CRD#: 107028

CINCINNATI, OH

Past

March 3, 2021 - November 23, 2022

TOUCHSTONE SECURITIES, INC.

CRD#: 1526

CINCINNATI, OH

Past

September 28, 2020 - February 16, 2021

BANKERS LIFE ADVISORY SERVICES, INC.

RIA

CRD#: 281285

LEXINGTON, KY

Past

September 28, 2020 - February 16, 2021

BANKERS LIFE SECURITIES, INC.

CRD#: 173962

LEXINGTON, KY

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

Kentucky
(5/22/2023)

IAR

Ohio
(1/24/2023)

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: 8/23/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/28/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/26/2019

Securities Industry Essentials Examination

Current Firm

LIVELY FINANCIAL LLC

CRD#: 324940 / SEC#:

Kentucky

Registered Investment Advisory firm - (5/22/2023 Approved)

Ohio

Registered Investment Advisory firm - (1/24/2023 Approved)

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Contact information

Main Address

Newport, KY

Mailing Address

Phone number

(513) 202-6549

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 173,040

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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Firm Stability Insights

Chad W. Lively

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chad William Lively's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIVELY FINANCIAL LLC

TOUCHSTONE ADVISORS INC

TOUCHSTONE SECURITIES, INC.

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/23/2019

Series 7TO

Date: 9/28/2020

SIE

Date: 7/26/2019

Current Firm

LIVELY FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LIVELY FINANCIAL LLC

TRUST BUT VERIFY

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