RK
Richard J. Kirby
BAKER TILLY WEALTH MANAGEMENT
Tewksbury, MA 01876
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CRD#: 6533634
RK
Professional summary
Richard Joseph Kirby Jr., who also goes by Richard Joseph Kirby, is a registered financial advisor currently at BAKER TILLY WEALTH MANAGEMENT, LLC located in Tewksbury, Massachusetts.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Richard has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Joseph Kirby
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.
1) 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. 2) RICHARD KIRBY, JR.; NOT INVESTMENT RELATED; TEWKSBURY, MA; INSURANCE AGENT; START DATE 06/2022
CRS (Client Relationship Summary) - RIA
Click below to view Richard Joseph Kirby Jr.'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
October 3, 2024 - Present
BAKER TILLY WEALTH MANAGEMENT, LLC
Office #1: 1 Highwood Drive, Tewksbury, MA 01876RIA
CRD#: 167811
Tewksbury, MA
Past
December 2, 2022 - September 4, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOSTON, MA
Past
August 1, 2022 - September 4, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOSTON, 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".
BT
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)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(10/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/1/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
BT
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)Upgrade to AdvisorCheck Premium
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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
32
SEC notice filing (26 States and Territories)
Documents
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 | ||
| 09/11/2023 | ||
| 10/04/2022 |
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.
Company Information
BAKER TILLY WEALTH MANAGEMENT, LLC
CRD#: 167811Tewksbury, MA 01876TRUST BUT VERIFY
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