Timothy R. Sutton

BAKER TILLY WEALTH MANAGEMENT

INDIANAPOLIS, IN 46240

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CRD#: 2881011

Professional summary

Timothy Robert Sutton, who also goes by Tim Robert Sutton, is a registered financial advisor currently at BAKER TILLY WEALTH MANAGEMENT, LLC located in Indianapolis, Indiana.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Timothy has worked at 12 firms and has passed the Series 65, Series 63, Series 50, SIE, Series 7, Series 54 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tim Robert Sutton

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.

BAKER TILLY WEALTH MANAGEMENT, LLC ("BTWM") IS A CONTROLLED SUBSIDIARY OF BAKER TILLY ADVISORY GROUP, LP ("BAKER TILLY"). SALARY AND VARIABLE COMPENSATION (IF APPLICABLE) IS PAID BY BAKER TILLY. 100% OF TIME IS SPENT ON ADVISORY SERVICES WITH BTWM. THERE IS AN EXPENSE SHARING AGREEMENT IN PLACE BETWEEN BTWM & BAKER TILLY WHICH GOVERNS SHARING OF PERSONNEL AND RESOURCES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Robert Sutton'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

December 23, 2020 - Present

BAKER TILLY WEALTH MANAGEMENT, LLC

Office #1: 8365 Keystone Crossing Ste 300, Indianapolis, IN 46240

RIA

CRD#: 167811

INDIANAPOLIS, IN

Past

March 18, 2019 - December 26, 2020

BAKER TILLY INVESTMENT SERVICES

RIA

CRD#: 300822

INDIANAPOLIS, IN

Past

March 23, 2017 - March 29, 2019

UMBAUGH CASH ADVISORY SERVICES, LLC

RIA

CRD#: 136904

INDIANAPOLIS, IN

Past

November 9, 2011 - May 12, 2015

CITY SECURITIES CORPORATION

RIA

CRD#: 1459

INDIANAPOLIS, IN

Past

November 9, 2011 - May 12, 2015

CITY SECURITIES CORPORATION

CRD#: 1459

INDIANAPOLIS, IN

Past

October 19, 2010 - December 2, 2011

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

INDIANAPOLIS, IN

Past

October 19, 2010 - December 2, 2011

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

INDIANAPOLIS, IN

Past

October 16, 2008 - September 20, 2010

CITY SECURITIES CORPORATION

RIA

CRD#: 1459

INDIANAPOLIS, IN

Past

December 19, 2005 - September 20, 2010

CITY SECURITIES CORPORATION

CRD#: 1459

INDIANAPOLIS, IN

Past

September 23, 2005 - January 5, 2006

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

April 13, 2005 - October 6, 2005

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Past

March 16, 2005 - April 6, 2005

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

December 16, 2003 - January 19, 2005

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

May 10, 1999 - December 9, 2003

SCOTTRADE, INC.

CRD#: 8206

ST. LOUIS, MO

Past

January 4, 1999 - January 11, 1999

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

August 3, 1998 - January 4, 1999

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

May 26, 1998 - August 3, 1998

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

June 11, 1997 - June 10, 1998

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

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".

BAKER TILLY WEALTH MANAGEMENT, LLC

BAKER TILLY | BAKER TILLY WEALTH MANAGEMENT, LLC | BAKER TILLY INVESTMENT SERVICES | BAKER TILLY FINANCIAL, LLC | BAKER TILLY FINANCIAL

CRD#: 167811 / SEC#: 801-119352

RIA

Registered Investment Advisory firm - (8/25/2020 Approved)

Louisiana

Registered Investment Advisory firm - (9/29/2020 Terminated)

Texas

Registered Investment Advisory firm - (9/23/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (9/23/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Indiana
(12/23/2020)

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: 7/18/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/19/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 50

Date: 2/5/2016

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

SIE

Date: 5/12/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/9/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 54

Date: 9/22/2022

Municipal Advisor Principal Qualification Examination

Principal/Supervisory Exam

Series 4

Date: 6/12/2006

Registered Options Principal Examination

Current Firm

BAKER TILLY WEALTH MANAGEMENT, LLC

BAKER TILLY | BAKER TILLY WEALTH MANAGEMENT, LLC | BAKER TILLY INVESTMENT SERVICES | BAKER TILLY FINANCIAL, LLC | BAKER TILLY FINANCIAL

CRD#: 167811 / SEC#: 801-119352

RIA

Registered Investment Advisory firm - (8/25/2020 Approved)

Louisiana

Registered Investment Advisory firm - (9/29/2020 Terminated)

Texas

Registered Investment Advisory firm - (9/23/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (9/23/2020 Terminated)

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Contact information

Main Address

4807 Innovate Lane, Madison, WI 53718

Mailing Address

Po Box 7398, Madison, WI 53707-7398

Phone number

(833) 761-0673

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

ADV PART 2A (8/29/2025)

Regulatory assets under management

Total Number of Accounts	2,165
AUM (Assets Under Management)	$ 4,601,242,128

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/22/2024	Cover Page	Report
09/11/2023	Cover Page	Report
10/04/2022	Cover Page	Report

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

Timothy R. Sutton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Robert Sutton's CRS (Customer Relationship Summary).

Certified licenses

Experience

BAKER TILLY INVESTMENT SERVICES

UMBAUGH CASH ADVISORY SERVICES, LLC

CITY SECURITIES CORPORATION

CITY SECURITIES CORPORATION

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

CITY SECURITIES CORPORATION

CITY SECURITIES CORPORATION

CHARLES SCHWAB & CO., INC.

E*TRADE SECURITIES LLC

IFMG SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

SCOTTRADE, INC.

NATCITY INSURANCE SERVICES, INC.

IFMG SECURITIES, INC.

INDEPENDENT FINANCIAL SECURITIES, INC.

NATCITY INVESTMENTS, INC.

Primary Firm SEC Registration

BAKER TILLY WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/18/2008

Series 63

Date: 6/19/1997

Series 50

Date: 2/5/2016

SIE

Date: 5/12/2015

Series 7

Date: 6/9/1997

Series 54

Date: 9/22/2022

Series 4

Date: 6/12/2006

Current Firm

BAKER TILLY WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BAKER TILLY WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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