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Barry R. Dick
THE FIDUCIARY ALLIANCE
Tewksbury, MA 01876
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CRD#: 2441904
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Professional summary
Barry Raymond Dick is a registered financial advisor currently at THE FIDUCIARY ALLIANCE located in Tewksbury, Massachusetts.
Barry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Barry has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 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.
-Dick Insurance Agency. 461 Main St Tewksbury MA 01876. Co-Owner Involved in P&C and Life Sales. Sale of insurance products and day to day operations. 12/2009. 120 hours a month during trading, 40 hours a month during non-trading.
-Merrimack Financial. 461 Main St Tewksbury MA 01876. Owner. Life and Annuity Sales. 02/2002. 100 hours during trading/40 hours during non-trading
CRS (Client Relationship Summary) - RIA
Click below to view Barry Raymond Dick'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®
NoneExperience
Current
March 22, 2021 - Present
THE FIDUCIARY ALLIANCE
Office #1: 461 Main St, Tewksbury, MA 01876RIA
CRD#: 284924
Tewksbury, MA
Past
May 21, 2007 - March 22, 2021
FIRST FINANCIAL ADVISORS, LLC
RIA
CRD#: 134897
TEWKSBURY, MA
Past
May 17, 2007 - May 21, 2007
WORKMAN SECURITIES CORPORATION
RIA
CRD#: 31898
TEWKSBURY, MA
Past
January 3, 2006 - May 21, 2007
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
TEWKSBURY, MA
Past
March 24, 2003 - January 19, 2006
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
Past
February 25, 2002 - January 21, 2003
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
Past
January 21, 1994 - March 13, 2002
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
January 21, 1994 - March 13, 2002
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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".
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THE FIDUCIARY ALLIANCE
ALTUM WEALTH ALLIANCE | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES
CRD#: 284924 / SEC#: 801-108283
RIA
Registered Investment Advisory firm - (8/17/2016 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
Massachusetts(7/7/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TF
THE FIDUCIARY ALLIANCE
ALTUM WEALTH ALLIANCE | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES
CRD#: 284924 / SEC#: 801-108283
RIA
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Contact information
Main Address
135 S Main St Suite 600, Greenville, SC 29601
Mailing Address
Phone number
(864) 385-7999
Established
Firm type
Fiscal year end
# of Employees
63
SEC notice filing (29 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,842 |
| AUM (Assets Under Management) | $ 1,921,956,974 |
Red Flags
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Company Information
THE FIDUCIARY ALLIANCE
CRD#: 284924Tewksbury, MA 01876TRUST BUT VERIFY
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