Richard A. Boehm

WINTHROP WEALTH

SCOTTSDALE, AZ 85253

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CRD#: 2365186

Professional summary

Richard Andrew Boehm, CFP®, who also goes by Rich Boehm, Richard A. Boehm, Richard Boehm, is a registered financial advisor currently at WINTHROP WEALTH located in Scottsdale, Arizona.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Richard has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rich Boehm | Richard A. Boehm | Richard Boehm

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.

02/12/2009 - UNIFIED TAX SERVICES, LLC - TAX PREP / ACCOUNTING / BOOKKEEPING - Investment Related - 5% OF TIME SPENT - PREPARE INCOME TAXES FOR INDIVIDUALS AND BUSINESSES 08/2020 - Unified Wealth Management, LLC - At Reported Business Location(s) - Investment-Related - Tax/Employment Entity/DBA - Founder & Managing Partner - 40 hr/wk - 8hr/day 5/8/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 05/01/2018 - 5 Hours Per Month/1 Hours During Securities Trading - Sales of non-variable life insurance and long term care insurance. 11/01/2023 - Unified Wealth Management- Non-Investment Related - At Reported Business Location(s) - Real Estate Rental - Office Space - Start Date: 09/01/2023 - 1 Hour Per Month / 1 Hour During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Andrew Boehm'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

August 12, 2020 - Present

WINTHROP WEALTH

Office #1: 6720 N Scottsdale Road Suite 378, Scottsdale, AZ 85253Office #2: 180 Post Road East Suite 200, Westport, CT 06880

RIA

CRD#: 288178

SCOTTSDALE, AZ

Past

February 23, 2009 - December 17, 2024

LPL FINANCIAL LLC

CRD#: 6413

WESTPORT, CT

Past

December 13, 2004 - December 10, 2020

UNIFIED WEALTH MANAGEMENT, LLC

RIA

CRD#: 133202

SCOTTSDALE, AZ

Past

September 16, 2004 - August 26, 2008

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

SCOTTSDALE, AZ

Past

August 31, 2004 - March 4, 2009

GUNNALLEN FINANCIAL, INC

CRD#: 17609

SCOTTSDALE, AZ

Past

March 27, 2003 - October 11, 2004

OSAIC WEALTH, INC.

RIA

CRD#: 23131

SCOTTSDALE, AZ

Past

December 9, 2002 - December 2, 2004

PFA/PINNACLE FINANCIAL ADVISORS

RIA

CRD#: 123235

SCOTTSDALE, AZ

Past

December 3, 2002 - October 11, 2004

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

July 16, 2002 - December 2, 2002

ASSET & FINANCIAL PLANNING, LTD

RIA

CRD#: 110709

SCOTTSDALE, AZ

Past

January 14, 1999 - December 2, 2002

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

POUGHKEEPSIE, NY

Past

August 31, 1993 - January 14, 1999

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

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".

WINTHROP WEALTH

CRD#: 288178 / SEC#: 801-110461

RIA

Registered Investment Advisory firm - (4/28/2017 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

Arizona
(8/14/2020)

IAR

Connecticut
(8/12/2020)

IAR

Texas
(8/12/2020)

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: 12/13/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/7/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/30/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 11/7/2011

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/6/1997

General Securities Principal Examination

Current Firm

WINTHROP WEALTH

CRD#: 288178 / SEC#: 801-110461

RIA

Registered Investment Advisory firm - (4/28/2017 Approved)

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Contact information

Main Address

321 Columbus Ave 3rd Fl, Boston, MA 02116-5168

Mailing Address

Phone number

(617) 530-1010

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

DISCLOSURE BROCHURE FOR WINTHROP ADVISORY GROUP, LLC (3/21/2025)

WRAP FEE BROCHURE FOR WINTHROP ADVISORY GROUP, LLC (3/20/2025)

Regulatory assets under management

Total Number of Accounts	3,872
AUM (Assets Under Management)	$ 2,600,886,145

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 A. Boehm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Andrew Boehm's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

UNIFIED WEALTH MANAGEMENT, LLC

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

OSAIC WEALTH, INC.

PFA/PINNACLE FINANCIAL ADVISORS

OSAIC WEALTH, INC.

ASSET & FINANCIAL PLANNING, LTD

PRIME CAPITAL SERVICES, INC.

OSAIC WEALTH, INC.

Primary Firm SEC Registration

WINTHROP WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 12/13/1999

Series 63

Date: 9/7/1993

SIE

Date: 10/1/2018

Series 7

Date: 8/30/1993

Series 51

Date: 11/7/2011

Series 24

Date: 12/6/1997

Current Firm

WINTHROP WEALTH

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINTHROP WEALTH

TRUST BUT VERIFY

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