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Paladin Registry 5 Stars

This advisor or firm is a vetted, documented member of the Paladin Registry.

This advisor or firm received a 5 Star quality rating from Paladin’s research department. Paladin analysts use a proprietary algorithm to rate the quality of financial advisor and firm credentials, ethics, business practices, and services.

Paladin provides free information services to investors who rely on planners and investment advisors to help them achieve their financial goals. Paladin is the only SEC registered firm that vets, validates, and documents the quality of financial professionals and firms (since 2003).

Paladin Research Report For:

Lance Ray

Focus Pointe Financial, LLC

Lance Ray, a financial fiduciary has been a Paladin Registry member since 2005. Lance is the owner of Focus Pointe Financial, LLC. Lance holds the Certified Financial Planner certifications and has over 17 years of experience. Lance provides financial services to clients in the Holly Springs, North Carolina area.

I. Snapshot

A. Registry Member
  • Since 2005
B. Years of Experience
  • 17
C. College Degrees
  • Hope College - BA
D. Certifications
  • CFP®
E. Financial Fiduciary
  • Yes
F. Business Philosophy
  • Read Business Philosophy

    Our focus is you. We provide our clients with the experience and tools necessary to help achieve their hopes and dreams. We know you want to focus on spending time with family and enjoying the important things in life. To that end, we employ an established process to develop a customized, practical approach to financial management. The most important benefit we provide may be the peace of mind that comes from knowing you have a trusted advisor to help you through important financial decisions.

G. Asset Requirement
  • $250,000

II. Contact Information

A. Key Contact
  • Did Not Answer
B. Main Location
  • 704 Streamwood Drive
    Holly Springs, North Carolina, 27540
C. Telephone
  • 877.741.6636

III. Internet

B. Social Connections

IV. Firm(s)

A. Name of Firm
  • Focus Pointe Financial, LLC
B. Relationship to Firm
  • Owner
C. Name of RIA
  • Bellwether Investment Group, LLC
D. Name of Broker/Dealer
  • None
E. Name(s) of Custodian(s)
  • Raymond James Financial Services, Inc.

V. Credentials

A. Years of Financial Experience
  • 17 Years
B. College, Degrees, Years
  • Hope College - BA
C. Current Certifications
D. Association Memberships
  • None

VI. Registration, Licensing,
Compliance

A. RIA/IAR Registration
  • IAR
B. Type of RIA Registration
  • SEC
C. Industry Licenses
  • Insurance License(s)
D. Registration & License Numbers
  • CRD: 3066927
  • IARD: 13905
  • Insurance: 1922978
E. State Licences
  • Financial Advice, Services for Fees: See List
    • California
    • Florida
    • Georgia
    • Michigan
    • Minnesota
    • New Jersey
    • New York
    • North Carolina
    • Ohio
    • Utah
    • Washington
    • Wisconsin
  • Investment Products for Commission: Not Applicable
  • Insurance Products for Commission: See List
    • Michigan
    • North Carolina
    • Ohio
F. Compliance Record (Investment)
  • No Disclosures
G. Compliance Record (Insurance)
  • No Disclosures
H. Criminal Disclosure(s)
  • None
I. Additional Disclosure(s)
  • Investment Advisory Services offered through Bellwether Investment Group, LLC.
J. View our ADV(s)
  • Available Upon Request
K. Links

VII. Business Data & Practices

A. Business Philosophy
  • Read Business Philosophy

    Our focus is you. We provide our clients with the experience and tools necessary to help achieve their hopes and dreams. We know you want to focus on spending time with family and enjoying the important things in life. To that end, we employ an established process to develop a customized, practical approach to financial management. The most important benefit we provide may be the peace of mind that comes from knowing you have a trusted advisor to help you through important financial decisions.

B. Minimum Asset Requirement
  • $250,000
C. Number of Current Clients
  • Available Upon Request
D. Assets (Management, Advisement)
  • Available Upon Request
E. Methods of Compensation
  • Hourly Fee
  • Fixed Fee
  • Asset-Based Fee
F. Methods of Communication
  • Face-to-Face Meetings
  • Telephone
  • Email
G. Types of Reports (Frequency)
  • Performance (Quarterly)
  • Brokerage Statement (Monthly)
  • Newsletters (Quarterly)
H. Second Language(s)
  • None
I. Value Statement
  • Not Available

VIII. Clients & Services

A. Types of Clients
  • Individuals & Couples (Working)
  • Individuals & Couples (Retired)
  • Business Pension Plans
  • Business (Taxable)
B. Types of Financial Services
  • Planning Advice & Services
  • Investment Advice & Services
  • Insurance Products
C. Discretionary Asset Management
  • Discretionary and Non-Discretionary
D. Limited Engagement Services
  • Planning Only
  • Financial Plan Reviews
  • Investment Portfolio Reviews

IX. Certification

Advisor Name
  • Lance Ray
Most Recent Update:
  • Feb 6, 2019

BASIC INFORMATION NEEDED FOR THE INQUIRY

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