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Richard James Maxwell

The Baldwin Group Wealth Advisors, LLC

Irvine, CA

Tampa, FL

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Current Employers
The Baldwin Group Wealth Advisors, Llc

4211 W. Boy Scout Blvd. Suite 800, Tampa, FL 33607 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-14
  • CA RA
    APPROVED
    Since 2025-01-14

Branch Locations

2211 Michelson Drive Suite 470, Irvine, CA 92612 • United States

4211 W. Boy Scout Blvd. Suite 800, Tampa, FL 33607 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Adp Broker-Dealer, Inc. Lynnwood WA 04/2015 01/2025
Adp Llc. Lynnwood WA 11/2012 01/2025
The Baldwin Group Wealth Advisors, Llc Tampa FL 01/2025 Present
Other Businesses

1. Independent Insurance Agent Non-investment related Ten hours monthly during securities trading Offer insurance products to consumers and clients

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-01-13
S63 Uniform Securities Agent State Law Examination 2015-06-08
  • S65 Uniform Investment Adviser Law Examination
    2025-01-13
  • S63 Uniform Securities Agent State Law Examination
    2015-06-08
Other Names
  • Rick James Maxwell

View on SEC IAPD

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