AdFi
PL

Patrick Lee Baird

Investment Adviser Representative at B. RILEY WEALTH ADVISORS, INC.

Pompano Beach,, FLCRD #4331370Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
22 yrs
States Registered
2 states
Exams Passed
14

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Patrick Lee Baird has worked in the securities industry since 2004. They are registered to provide investment advisory services in Florida and Washington.

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
FloridaWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 12/23/2019
Series 63
Uniform Securities Agent State Law Examination
Passed 10/4/2001
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
Series 57
Securities Trader Exam
Passed 1/2/2023
Series 99
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 3/16/2009
Series 3
National Commodity Futures Examination
Passed 2/23/2009
Series 7
General Securities Representative Examination
Passed 1/10/2000
Series 4
Registered Options Principal Examination
Passed 11/14/2018
Series 30
NFA Branch Manager Examination
Passed 5/27/2010
Series 53
Municipal Securities Principal Examination
Passed 9/30/2008
Series 24
General Securities Principal Examination
Passed 3/29/2008
Series 27
Financial and Operations Principal Examination
Passed 4/15/2002

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

B. Riley Wealth Advisors, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

B. RILEY WEALTH ADVISORS, INC.Current
10/16/2023Pompano Beach,, FL
NEWBRIDGE FINANCIAL SERVICES GROUP, INC.
11/18/202110/5/2023Boca Raton, FL
NATIONAL ASSET MANAGEMENT, INC.
1/28/202110/18/2021Boca Raton, FL

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at B. RILEY WEALTH ADVISORS, INC.

Showing 12 of 168 in the directory

View B. RILEY WEALTH ADVISORS, INC. firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Patrick Lee Baird has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Patrick Lee Baird - Financial Advisor in Pompano Beach,, FL | AdvisorFinder