William B. Herbert

BALANCED WEALTH MANAGEMENT.

East Greenwich, RI 02818

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CRD#: 7628823

Professional summary

William Baker Herbert is a registered financial advisor currently at BALANCED WEALTH MANAGEMENT, LLC. located in East Greenwich, Rhode Island.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. William has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) Guardian Life Insurance; Not investment-related; Needham, MA 02494; Insurance sales; Implementation of insurance recommendations; Less than 5% of time during the month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Baker Herbert'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®

None

Experience

Current

February 7, 2025 - Present

BALANCED WEALTH MANAGEMENT, LLC.

Office #1: 378 Main Street Suite 105, East Greenwich, RI 02818

RIA

CRD#: 174699

East Greenwich, RI

Past

September 25, 2023 - February 3, 2025

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

NEEDHAM, MA

Past

May 24, 2023 - February 3, 2025

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEEDHAM, MA

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
(2/14/2025)

IAR

Rhode Island
(2/7/2025)

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 66

Date: 8/2/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/24/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/20/2023

Securities Industry Essentials Examination

Current Firm

BALANCED WEALTH MANAGEMENT, LLC.

AUCLAIR & PARTNERS, LLC | BALANCED WEALTH MANAGEMENT, LLC. | BALANCED WEALTH MANAGEMENT, LLC

CRD#: 174699 / SEC#:

Massachusetts

Registered Investment Advisory firm - (4/3/2015 Approved)

Rhode Island

Registered Investment Advisory firm - (2/9/2015 Approved)

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Contact information

Main Address

378 Main Street Suite 105, East Greenwich, RI 02818

Mailing Address

Phone number

(401) 398-2000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	448
AUM (Assets Under Management)	$ 83,148,515

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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William B. Herbert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Baker Herbert's CRS (Customer Relationship Summary).

Certified licenses

Experience

BALANCED WEALTH MANAGEMENT, LLC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/2/2023

Series 7TO

Date: 5/24/2023

SIE

Date: 1/20/2023

Current Firm

BALANCED WEALTH MANAGEMENT, LLC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BALANCED WEALTH MANAGEMENT, LLC.

TRUST BUT VERIFY

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