Deborah L. Harrington

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CRD#: 1254751

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.

Deborah Lee Harrington, who also goes by Debbie Griffin, Deborah Lee Griffin, was a registered financial professional .

Deborah is a previously registered financial professional and started their career in finance in 1985. Deborah had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Debbie Griffin | Deborah Lee Griffin

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.

1. BAKER TILLY US, LLP (BTUS); 18500 VON KARMAN AVE, SUITE 10000, IRVINE, CA 92612; DIRECTOR; BAKER TILLY CAPITAL,LLC ("BTC") AND BAKER TILLY WEALTH MANAGEMENT, LLC ("BTWM") ARE WHOLLY OWNED SUBSIDIARIES OF BTUS. SALARY AND BAKER TILLY US, LLP (BTUS); 18500 VON KARMAN AVE, SUITE 10000, IRVINE, CA 92612; PARTNER; BAKER TILLY CAPITAL,LLC ("BTC") AND BAKER TILLY WEALTH MANAGEMENT, LLC ("BTWM") ARE WHOLLY OWNED SUBSIDIARIES OF BTUS. SALARY AND VARIABLE COMPENSATION IS PAID BY BTUS. 100% OF TIME IS SPENT ON ADVISORY WORK. THERE IS AN EXPENSE-SHARING AGREEMENT IN PLACE BETWEEN BTC AND BTUS, AS WELL AS, BTWM AND BTUS, WHICH GOVERNS SHARING OF PERSONNEL AND RESOURCES.

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

November 3, 2020 - April 22, 2024

BAKER TILLY WEALTH MANAGEMENT, LLC

RIA

CRD#: 167811

IRVINE, CA

Past

November 2, 2020 - April 22, 2024

BAKER TILLY CAPITAL, LLC

CRD#: 115333

Irvine, CA

Past

July 5, 2019 - November 2, 2020

DFPG INVESTMENTS, LLC

CRD#: 155576

IRVINE, CA

Past

April 25, 2019 - December 22, 2020

SQUAR MILNER FINANCIAL SERVICES, LLC

RIA

CRD#: 112483

IRVINE, CA

Past

May 15, 2017 - July 6, 2018

OSAIC INSTITUTIONS, INC.

CRD#: 35371

Newport Beach, CA

Past

April 27, 2017 - July 6, 2018

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

Newport Beach, CA

Past

November 25, 2013 - July 10, 2015

JCP SECURITIES

CRD#: 140318

IRVINE, CA

Past

September 25, 2013 - July 10, 2015

JCP SECURITIES

RIA

CRD#: 140318

IRVINE, CA

Past

June 21, 2002 - September 15, 2011

HARRINGTON CAPITAL ADVISORS,INC.

RIA

CRD#: 120773

LAKE FOREST, CA

Past

November 3, 1998 - December 31, 2000

LIPPER & COMPANY, L.P.

CRD#: 30161

NEW YORK, NY

Past

November 22, 1988 - December 31, 1990

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

January 23, 1985 - September 2, 1987

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

BAKER TILLY WEALTH MANAGEMENT, LLC

BAKER TILLY | BAKER TILLY WEALTH MANAGEMENT, LLC | BAKER TILLY INVESTMENT SERVICES | BAKER TILLY FINANCIAL, LLC | BAKER TILLY FINANCIAL

CRD#: 167811 / SEC#: 801-119352

RIA

Registered Investment Advisory firm - (8/25/2020 Approved)

Louisiana

Registered Investment Advisory firm - (9/29/2020 Terminated)

Texas

Registered Investment Advisory firm - (9/23/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (9/23/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 66

Date: 5/22/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/17/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/6/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 12/11/2014

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 11/2/1998

General Securities Representative Examination

Current Firm

BAKER TILLY WEALTH MANAGEMENT, LLC

BAKER TILLY | BAKER TILLY WEALTH MANAGEMENT, LLC | BAKER TILLY INVESTMENT SERVICES | BAKER TILLY FINANCIAL, LLC | BAKER TILLY FINANCIAL

CRD#: 167811 / SEC#: 801-119352

RIA

Registered Investment Advisory firm - (8/25/2020 Approved)

Louisiana

Registered Investment Advisory firm - (9/29/2020 Terminated)

Texas

Registered Investment Advisory firm - (9/23/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (9/23/2020 Terminated)

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Contact information

Main Address

4807 Innovate Lane, Madison, WI 53718

Mailing Address

Po Box 7398, Madison, WI 53707-7398

Phone number

(833) 761-0673

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (8/29/2025)

Regulatory assets under management

Total Number of Accounts	2,165
AUM (Assets Under Management)	$ 4,601,242,128

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/22/2024	Cover Page	Report
09/11/2023	Cover Page	Report
10/04/2022	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

Deborah L. Harrington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BAKER TILLY CAPITAL, LLC

DFPG INVESTMENTS, LLC

SQUAR MILNER FINANCIAL SERVICES, LLC

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

JCP SECURITIES

JCP SECURITIES

HARRINGTON CAPITAL ADVISORS,INC.

LIPPER & COMPANY, L.P.

TITAN/VALUE EQUITIES GROUP, INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

BAKER TILLY WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/22/2002

Series 63

Date: 11/17/1998

SIE

Date: 7/6/2018

Series 79

Date: 12/11/2014

Series 7

Date: 11/2/1998

Current Firm

BAKER TILLY WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BAKER TILLY WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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