Joseph Ray Faulk

Employer firm

Royal Fund Management, LLC CRD 144434

$1.56B regulatory AUM 23 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• SUB-ADVISOR TO OTHER ADVISERS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2009 → Present
  Self Employed
  Tampa, FL
• 02/2008 → Present
  First Cardinal Financial Services
  Tampa, FL
• 11/2014 → Present
  Royal Fund Management, Llc
  The Villages, FL

Previous Registrations

• 2013-10-07 → 2014-05-05
  Bright Owl Investment Advisors
  Tampa, FL
  Kentwood, MI
• 2010-10-26 → 2011-10-03
  Foresters Equity Services, Inc.
  Ocala, FL
  Tampa, FL
  San Diego, CA
• 2008-01-30 → 2009-05-22
  Oneamerica Securities, Inc.
  Tampa, FL
  Tampa, FL
  Tampa, FL
• 2006-05-16 → 2008-01-14
  Valic Financial Advisors, Inc.
  Boca Raton, FL
  Tampa, FL

Other Businesses

1) 02/2008: FIRST CARDINAL FINANCIAL SERVICES: PRESIDENT; 4115 WEST SPRUCE STREET, TAMPA, FL, 33607; INSURANCE PRODUCTS SUCH AS LIFE INS, ANNUITIES, MEDICARE AND HEALTH INSURANCE; APPROX. 160 HOURS PER MONTH; 8 HOURS DURING TRADING HOURS; ALL DAY-TO-DAY ACTIVITIES. 2) 2/2012 WE ROLL LLC; SILENT PARTNER; NON INVESTMENT RELATED; 2339 TAMIAMI TRAIL EAST, NAPLES, FL 34112; SELL TOBACCO PRODUCTS; ATTEND ANNUAL MEETING AND GIVE FEEDBACK, ATTEND CONF. CALLS AS NEEDED, 1% OF PROFESSIONAL TIME

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-05-12