
Richard Farrar (CRD# 1010027) is an Investment Advisor Representative working at Lincoln Financial Advisors Corporation in Birmingham, AL and has over 34 years of experience in the finance industry. Richard Farrar has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 5422273
Hightower Advisors, LLC
Score
103

CRD# 1469265
Wesban Financial Consultants, P.c.
Score
101

CRD# 5556427
Raymond James & Associates, Inc.
Score
101
Company Name | Location | Dates | Years |
---|---|---|---|
Lincoln Financial Advisors | Birmingham, AL | May 2000 - Current | 17 |
Lincoln National Life | Birmingham, AL | May 2000 - Current | 17 |
General American Insurance | Bham, AL | Jan 1984 - Current | 34 |
Insurance Agent/broker | Bham, AL | Dec 1981 - Current | 36 |
Exam Code | Name | Passed Date |
---|---|---|
S63 | Uniform Securities State Law Examination | Apr 1984 |
S65 | NASAA Investment Advisors Law Examination | Jul 1997 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.
Reported Disclosure Event:- Customer Dispute
- AL
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Total Assets Under Management15,326MILLIONS
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Total Number of Accounts55,801ACCOUNTS
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Average Account Value$274,649
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
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