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RB

Richard A. Burling

F/M INVESTMENTS LLC
MILWAUKEE, WI 53202
Some features on this profile are disabled
CRD#: 2045123
RB

Professional summary

Richard Aaron Burling is a registered financial advisor currently at F/M INVESTMENTS LLC located in Milwaukee, Wisconsin.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Richard has worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Aaron Burling's CRS (Customer Relationship Summary).
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

April 2, 2024 - Present

F/M INVESTMENTS LLC

Office #1: 309 North Water Street Suite 315, Milwaukee, WI 53202
RIA
CRD#: 304405
MILWAUKEE, WI
Past

May 28, 2020 - May 15, 2024

ZCM

RIA
CRD#: 309195
MILWAUKEE, WI
Past

April 8, 2013 - June 1, 2020

ZIEGLER CAPITAL MANAGEMENT, LLC

RIA
CRD#: 135622
MILWAUKEE, WI
Past

June 5, 2006 - November 14, 2013

RED GRANITE ADVISORS LLC

RIA
CRD#: 140045
MILWAUKEE, WI
Past

September 13, 2001 - May 9, 2006

ROBERT W. BAIRD & CO. INCORPORATED

RIA
CRD#: 8158
MILWAUKEE, WI
Past

May 15, 2001 - May 9, 2006

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

April 10, 1990 - December 31, 1991

FIRSTAR INVESTMENT SERVICES,INC.

BD
CRD#: 14536

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".
FI
F/M INVESTMENTS LLC
F/M INVESTMENTS LLC | OAKHURST CAPITAL ADVISORS LLC | NORTH SLOPE CAPITAL LLC | INTEGRATED ALPHA INVESTMENTS LLC | GENOA ASSET MANAGEMENT LLC

CRD#: 304405 / SEC#: 801-116853

RIA
Registered Investment Advisory firm - (6/28/2019 Approved)

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
Wisconsin
(4/2/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/20/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/9/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/14/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/9/1990
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FI
F/M INVESTMENTS LLC
F/M INVESTMENTS LLC | OAKHURST CAPITAL ADVISORS LLC | NORTH SLOPE CAPITAL LLC | INTEGRATED ALPHA INVESTMENTS LLC | GENOA ASSET MANAGEMENT LLC

CRD#: 304405 / SEC#: 801-116853

RIA
Registered Investment Advisory firm - (6/28/2019 Approved)
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Contact information

Main Address
3050 K. St Nw Suite 201, Washington, DC 20007
Mailing Address
Phone number
(202) 839-4910
Established
Firm type
Fiscal year end
# of Employees
70

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FMI FORM ADV PART 2A 03.31.2025 (4/1/2025)

Regulatory assets under management

Total Number of Accounts4,480
AUM (Assets Under Management)$ 16,899,434,237

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.

Company Information

F/M INVESTMENTS LLC

CRD#: 304405Milwaukee, WI 53202

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