Richard K. Baird

HARBORVIEW ASSET MANAGEMENT LLC

St. George, UT

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CRD#: 725907

Professional summary

Richard Kent Baird, who also goes by Richard K Baird, Rick Baird, is a registered financial advisor currently at HARBORVIEW ASSET MANAGEMENT LLC located in St. George, Utah.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Richard has worked at 6 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard K Baird | Rick Baird

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 Kent Baird's CRS (Customer Relationship Summary).

July 28, 2004 - May 10, 2005

ZIONS CAPITAL ADVISORS, INC.

RIA

CRD#: 131308

BERKELEY, CA

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".

HARBORVIEW ASSET MANAGEMENT LLC

CRD#: 332767 / SEC#: 801-131191

RIA

Registered Investment Advisory firm - (9/25/2024 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

Utah
(10/8/2024)

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: 11/7/1996

Uniform Investment Adviser Law Examination

Current Firm

HARBORVIEW ASSET MANAGEMENT LLC

CRD#: 332767 / SEC#: 801-131191

RIA

Registered Investment Advisory firm - (9/25/2024 Approved)

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Contact information

Main Address

7201 Pioneer Way Ste B202, Gig Harbor, WA 98335

Mailing Address

Phone number

(253) 432-1001

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HARBORVIEW ASSET MANAGEMENT ADV PART 2A JAN 2025 (1/21/2025)

Regulatory assets under management

Total Number of Accounts	32
AUM (Assets Under Management)	$ 108,476,235

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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Richard K. Baird

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Kent Baird's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBORVIEW ASSET MANAGEMENT LLC

DRIVE WEALTH ADVISERS

HOLLY STREET WEALTH ADVISORS

YELLOWSTONE PARTNERS

WIND RIVER ADVISORS, L.L.C.

ZIONS CAPITAL ADVISORS, INC.

Primary Firm SEC Registration

HARBORVIEW ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/7/1996

Current Firm

HARBORVIEW ASSET MANAGEMENT LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARBORVIEW ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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