Linda K. Drake

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CRD#: 4561215

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Linda Kay Drake, who also goes by Linda Kay Guyer, was a registered financial professional .

Linda is a previously registered financial professional and started their career in finance in 2002. Linda had worked at 5 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Linda Kay Guyer

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)

September 2, 2002 - September 7, 2007

HOLT-SMITH ADVISORS

RIA

CRD#: 105901

MADISON, WI

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/30/2002

Uniform Investment Adviser Law 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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Linda K. Drake

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BAKER TILLY WEALTH MANAGEMENT, LLC

UNITED CAPITAL FINANCIAL ADVISORS

MRZ FINANCIAL SERVICES LLC

M&I INVESTMENT MANAGEMENT CORP.

HOLT-SMITH ADVISORS

Primary Firm SEC Registration

BAKER TILLY WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/2002

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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