Walter D. Beck

TAILWIND WEALTH MANAGEMENT

Hingham, MA

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CRD#: 1984380

Professional summary

Walter Douglas Beck is a registered financial advisor currently at TAILWIND WEALTH MANAGEMENT, LLC located in Hingham, Massachusetts.

Walter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Walter has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter Douglas Beck's CRS (Customer Relationship Summary).

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

Current

November 15, 2017 - Present

TAILWIND WEALTH MANAGEMENT, LLC

RIA

CRD#: 289874

Hingham, MA

Past

January 2, 2015 - January 6, 2017

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

BOSTON, MA

Past

January 2, 2015 - January 6, 2017

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

MERRIMACK, NH

Past

January 2, 2015 - January 6, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MERRIMACK, NH

Past

November 19, 2013 - May 18, 2016

PYRAMIS DISTRIBUTORS CORPORATION LLC

CRD#: 146430

MERRIMACK, NH

Past

October 23, 2006 - October 23, 2013

DWS DISTRIBUTORS, INC.

CRD#: 37306

NEW YORK, NY

Past

April 29, 2005 - September 29, 2006

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

January 9, 2003 - August 11, 2004

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

May 11, 1998 - November 19, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 22, 1991 - March 24, 1998

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(11/15/2017)

IAR

Michigan
(5/6/2025)

IAR

Texas
(2/7/2022)

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: 1/20/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/20/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/12/2011

General Securities Principal Examination

Current Firm

TAILWIND WEALTH MANAGEMENT, LLC

CRD#: 289874 / SEC#:

Massachusetts

Registered Investment Advisory firm - (11/15/2017 Approved)

Michigan

Registered Investment Advisory firm - (1/13/2023 Approved)

Texas

Registered Investment Advisory firm - (1/27/2022 Conditional Restricted)

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Contact information

Main Address

Hingham, MA

Mailing Address

Phone number

(781) 967-2160

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	110
AUM (Assets Under Management)	$ 32,000,000

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

Walter D. Beck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter Douglas Beck's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL FINANCIAL SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

PYRAMIS DISTRIBUTORS CORPORATION LLC

DWS DISTRIBUTORS, INC.

UBS ASSET MANAGEMENT (US) INC.

UBS ASSET MANAGEMENT (US) INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RAYMOND JAMES & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/20/1993

Series 63

Date: 1/20/1992

SIE

Date: 1/6/2017

Series 7

Date: 11/18/1991

Series 24

Date: 10/12/2011

Current Firm

TAILWIND WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TAILWIND WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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