NR
Nicholas R. Rhode
BAKER TILLY CAPITAL
Austin, TX 78746
Some features on this profile are disabled
CRD#: 7290577
NR
Professional summary
Nicholas Randall Rhode, who also goes by Nicholas Rhode, is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicholas Rhode
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.
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Randall Rhode'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
July 10, 2025 - Present
BAKER TILLY CAPITAL, LLC
Office #1: 901 Mopac Expressway South Suite 100, Austin, TX 78746BD
CRD#: 115333
Austin, TX
Past
August 1, 2023 - July 15, 2024
BAKER TILLY CAPITAL, LLC
BD
CRD#: 115333
AUSTIN, TX
Past
October 22, 2020 - November 15, 2021
BAKER TILLY CAPITAL, LLC
BD
CRD#: 115333
MADISON, WI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/10/2025)
RR
Alaska(7/15/2025)
RR
Arizona(7/18/2025)
RR
Arkansas(7/21/2025)
RR
California(7/10/2025)
RR
Colorado(7/11/2025)
RR
Connecticut(7/10/2025)
RR
Delaware(7/10/2025)
RR
District of Columbia(7/15/2025)
RR
Florida(7/10/2025)
RR
Georgia(8/4/2025)
RR
Hawaii(8/21/2025)
RR
Idaho(7/15/2025)
RR
Illinois(7/10/2025)
RR
Indiana(7/16/2025)
RR
Iowa(7/23/2025)
RR
Kansas(7/15/2025)
RR
Kentucky(7/10/2025)
RR
Louisiana(7/16/2025)
RR
Maine(7/11/2025)
RR
Maryland(7/14/2025)
RR
Massachusetts(7/11/2025)
RR
Michigan(7/10/2025)
RR
Minnesota(7/10/2025)
RR
Mississippi(7/10/2025)
RR
Missouri(7/10/2025)
RR
Montana(7/10/2025)
RR
Nebraska(7/10/2025)
RR
Nevada(7/11/2025)
RR
New Hampshire(7/14/2025)
RR
New Jersey(7/10/2025)
RR
New Mexico(7/15/2025)
RR
North Carolina(7/14/2025)
RR
North Dakota(7/17/2025)
RR
Ohio(7/11/2025)
RR
Oklahoma(7/10/2025)
RR
Oregon(7/15/2025)
RR
Pennsylvania(7/11/2025)
RR
Rhode Island(7/14/2025)
RR
South Carolina(7/10/2025)
RR
South Dakota(7/10/2025)
RR
Tennessee(7/14/2025)
RR
Texas(7/10/2025)
RR
Utah(7/11/2025)
RR
Vermont(7/16/2025)
RR
Virginia(7/10/2025)
RR
Washington(7/24/2025)
RR
West Virginia(7/14/2025)
RR
Wisconsin(7/15/2025)
RR
Wyoming(7/16/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 10/22/2020
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BT
BAKER TILLY CAPITAL, LLC
BAKER TILLY CAPITAL | VIRCHOW KRAUSE CAPITAL, LLC | BAKER TILLY CAPITAL, LLC
CRD#: 115333 / SEC#: , 8-53480
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4807 Innovate Lane, Madison, WI 53718
Mailing Address
Po Box 7398, Madison, WI 53707-7398
Phone number
(800) 362-7301
Established
Wisconsin since 09/22/1999
Firm type
Limited Liability Company
Fiscal year end
May
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
