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 19 years of experience in the finance industry.
Triad Financial Advisors, Inc.
Spartan Planning & Wealth Management
Oppenheimer & Company Inc.
|Royal Alliance Associates, Inc.||Greensboro, NC||Oct 2009 - Current||7|
|Aflac||Greensboro, NC||Aug 2008 - Oct 2009||1|
|Axa Advisors, LLC||High Point, NC||Feb 2007 - Jul 2008||1|
|Wachovia Securities, LLC||Greensboro, NC||Jun 2003 - Jan 2007||3|
|Wachovia Bank, N.a.||Greensboro, NC||Jun 2002 - Jan 2007||4|
|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 Management439MILLIONS
Total Number of Accounts1,644ACCOUNTS
Average Account Value$266,950
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AL, FL, IL, MD, NC, SC, TX, VA