Richard Barber has been President/Chief Compliance Officer of Provident Living Financial Services since May 2016, is a control person of the firm and directly owns 75% or more of it.
Provident Living Financial Services, Inc. is a Lehi, UT firm with $158M under management, 254 clients and 3 advisers across 2 offices, as of its March 2026 filing.
Richard Barber’s longest registration is the current one, 10 years at Provident Living Financial Services since 2016. Before joining Provident Living Financial Services in 2016, Richard Barber was registered through Wells Fargo Advisors Financial Network, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- – present · 10 yearsLehi, UT · Adviser representative · Firm CRD 282665
- Wells Fargo Advisors Financial Network, LLC– · 6 yearsAtwater, CA · Adviser representative · Firm CRD 11025
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 6 yearsModesto, CA · Adviser representative · Firm CRD 7691
- Morgan Stanley– · under a yearMerced, CA · Adviser representative · Firm CRD 7556
Investment adviser representative registrations
Richard Barber is registered as an investment adviser representative in 4 states, as a resident of Texas. The first approvals date from July 2016; the most recent is Texas, in July 2017.
- CaliforniaSince 26 July 2016
- IdahoSince 16 September 2016
- TexasResidentSince 21 July 2017
- UtahSince 3 August 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 28 June 2012 |
| Series 31 | Futures Managed Funds Examination | 23 December 2002 |
| Series 66 | Uniform Combined State Law Examination | 17 October 2002 |
| Series 7 | General Securities Representative Examination | 26 September 2002 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Richard Tom Barber
- CRD
- 4566084
- Firm
- Provident Living Financial Services · CRD 282665
- Role
- President/Chief Compliance Officer
- Office
- 3450 N TRIUMPH BLVD., SUITE 102, Lehi, UT 84043
- Registration
- Investment adviser registration
- In the industry since
- February 2003
- Disciplinary history
- Not yet shown here · SEC record
Where does Richard Barber work?
Richard Barber has been President/Chief Compliance Officer of Provident Living Financial Services, Inc. since May 2016, and is a control person of the firm.
Is Richard Barber a financial advisor?
Yes. Richard Barber has a current investment-adviser registration in California, Idaho, Texas and Utah, through Provident Living Financial Services since July 2016.
How many years of experience does Richard Barber have?
Richard Barber has 23 years in the financial industry, since February 2003, across 4 adviser firms.
What exams has Richard Barber passed?
Richard Barber has passed 4 licensing exams: the Series 7, Series 66, Series 31 and Series 24. The earliest, the Series 7, was passed in September 2002. FINRA credited Richard Barber with the SIE, which began in October 2018.
Where did Richard Barber work before Provident Living Financial Services?
Before Provident Living Financial Services, Richard Barber was registered through Wells Fargo Advisors Financial Network, LLC, April 2010 to July 2016; Merrill Lynch, Pierce, Fenner & Smith Incorporated, January 2004 to May 2010; Morgan Stanley, January 2003 to December 2003.
Where is Richard Barber based?
Richard Barber’s registered office is in Lehi, UT.
Is Richard Barber registered with FINRA?
No. Richard Barber has no current broker registration.
How can I verify Richard Barber’s record?
Search CRD 4566084 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Barber’s full registration record.