Nicholas Randall Rhode
Professional Summary
Nicholas Randall Rhode, who also goes by Nicholas Rhode, is a registered financial advisor currently at BAKER TILLY CAPITAL, LLC located in Austin, Texas. Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2020. Nicholas has worked at 1 firm and has passed the Series 63, Series 82TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nicholas Rhode
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
6 years in the financial services industry
Current & Past Employments
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Current Firm
BAKER TILLY CAPITAL | VIRCHOW KRAUSE CAPITAL, LLC | BAKER TILLY CAPITAL, LLC
Contact Information
Main Address
4807 Innovate Lane, Madison, WI 53718Mailing Address
Po Box 7398, Madison, WI 53707-7398Phone Number
(800) 362-7301Established
Wisconsin since 09/22/1999Firm Type
Limited Liability CompanyFiscal Year End
MayFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
1Similar Advisors
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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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Oct 2020About the Series 82TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Nicholas Randall Rhode's CRS (Customer Relationship Summary).
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