Richard Baldwin

BALDWIN WEALTH MANAGEMENT

ST. LOUIS, MO 63105

Some features on this profile are disabled

CRD#: 2577900

Professional summary

Richard Baldwin III, who also goes by Richard Baldwin, is a registered financial advisor currently at BALDWIN WEALTH MANAGEMENT, LLC located in St. Louis, Missouri.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Richard has worked at 2 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Baldwin

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 Baldwin III'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

August 4, 2010 - Present

BALDWIN WEALTH MANAGEMENT, LLC

Office #1: 225 South Meramec Avenue Suite 500 A, St. Louis, MO 63105

RIA

CRD#: 154633

ST. LOUIS, MO

Past

March 16, 1995 - February 18, 1999

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

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

Missouri
(8/4/2010)

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

Series 63

Date: 4/6/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/15/1995

General Securities Representative Examination

Current Firm

BALDWIN WEALTH MANAGEMENT, LLC

BALDWIN | BALDWIN WEALTH MANAGEMENT, LLC | BALDWIN WEALTH MANAGEMENT | BALDWIN WEALTH

CRD#: 154633 / SEC#:

Missouri

Registered Investment Advisory firm - (8/4/2010 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

225 South Meramec Avenue Suite 500 A, St. Louis, MO 63105

Mailing Address

Phone number

(314) 395-3648

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	88
AUM (Assets Under Management)	$ 58,580,700

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.

Similar Advisors

Aaron Ungerer

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Frontenac, MO

Dalton Stockton

WELLS FARGO CLEARING SERVICES, LLC

IAR

ST. LOUIS, MO

Michael Etheridge

CORNERSTONE WEALTH MANAGEMENT, LLC

IAR

ST. PETERS, MO

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard Baldwin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Baldwin III's CRS (Customer Relationship Summary).

Certified licenses

Experience

BALDWIN WEALTH MANAGEMENT, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 4/6/1995

Series 7

Date: 3/15/1995

Current Firm

BALDWIN WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BALDWIN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors