Barbara RichleyCRD Number: 3013952
Current Firm: Triad Financial Advisors, Inc.
Barbara Richley (CRD# 3013952) is an Investment Advisor Representative working at Triad Financial Advisors, Inc. in Greensboro, NC and has over 20 years of experience in the finance industry.
Spartan Planning Group
Tarheel Advisors, LLC
Triad Financial Advisors, Inc.
|Royal Alliance Associates, Inc.||Greensboro, NC||Oct 2009 - Current||8|
|Aflac||Greensboro, NC||Aug 2008 - Oct 2009||1|
|Axa Advisors, LLC||High Point, NC||Feb 2007 - Jul 2008||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1998|
|S65||NASAA Investment Advisors Law Examination||May 2006|
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:
- Judgments / Liens
Total Assets Under Management506MILLIONS
Total Number of Accounts1,846ACCOUNTS
Average Account Value$274,090
- A percentage of assets under your management
- Hourly charges
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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