THE RETIREMENT GUYS FORMULA LLC of MAUMEE, OH is an SEC-registered investment adviser (CRD 168561). Regulatory assets under management: $276.9M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Nolan Richard Baker | MANAGING MEMBER/CCO | — |
| BAKER WILLIAM RICHARD | CCO; MANAGING MEMBER/CCO | — |
| CLAIR MARK DOUGLAS | MANAGING MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2013-12-16 | civil | WHEN COMPLETING HIS LICENSE RENEWAL FORM, MR. CLAIR INADVERTENTLY FAILED TO NOTIFY THE OHIO INSURANCE COMMISSION OF A FINRA ARBITRATION PROCEEDING. | Final | $400 |
| — | regulatory | — | — | — |