Richard M. Herrick

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CRD#: 1221697

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard M Herrick was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 5, 2012 - January 14, 2021

TFO WEALTH PARTNERS

RIA

CRD#: 124407

MAUMEE, OH

Past

April 10, 2006 - July 5, 2012

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

TOLEDO, OH

Past

June 12, 2001 - November 2, 2006

WALNUT STREET ADVISERS INC

RIA

CRD#: 109903

TOLEDO, OH

Past

April 5, 2001 - July 5, 2012

WALNUT STREET SECURITIES, INC.

CRD#: 15840

TOLEDO, OH

Past

November 19, 1989 - May 17, 2001

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

November 21, 1984 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TFO WEALTH PARTNERS

CRD#: 124407 / SEC#: 801-62074

RIA

Registered Investment Advisory firm - (5/28/2003 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/23/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/19/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/17/1984

General Securities Representative Examination

Current Firm

TFO WEALTH PARTNERS

CRD#: 124407 / SEC#: 801-62074

RIA

Registered Investment Advisory firm - (5/28/2003 Approved)

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Contact information

Main Address

1440 Arrowhead Drive, Maumee, OH 43537

Mailing Address

Phone number

(419) 891-9999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TFO WEALTH PARTNERS, LLC FORM ADV PART 2A (7/11/2025)

Regulatory assets under management

Total Number of Accounts	5,141
AUM (Assets Under Management)	$ 4,852,786,561

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/14/2024	Cover Page	Report
09/21/2023	Cover Page	Report
02/27/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Richard M. Herrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WALNUT STREET SECURITIES, INC.

WALNUT STREET ADVISERS INC

WALNUT STREET SECURITIES, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

TFO WEALTH PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 2/23/2001

Series 63

Date: 8/19/1998

Series 7

Date: 11/17/1984

Current Firm

TFO WEALTH PARTNERS

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TFO WEALTH PARTNERS

TRUST BUT VERIFY

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