Richard S. Waldron
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Stewart Waldron, who also goes by Richard S Waldron, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 7 firms and has passed the Series 63, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2016 - December 31, 2018
RKL PRIVATE WEALTH
January 3, 2007 - February 12, 2016
STERLING FINANCIAL ADVISORS, LLC
May 2, 2006 - December 19, 2006
GENEOS WEALTH MANAGEMENT, INC.
May 2, 2006 - December 19, 2006
GENEOS WEALTH MANAGEMENT, INC.
March 3, 2006 - June 26, 2006
RKL PRIVATE WEALTH
November 3, 1987 - February 8, 2006
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
May 18, 1987 - October 30, 1987
LEGG MASON WOOD WALKER, INCORPORATED
March 5, 1985 - May 22, 1987
W.H. NEWBOLD'S SON & CO., INC.
January 21, 1981 - March 11, 1985
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
RKL PRIVATE WEALTH
CRD#: 122693 / SEC#: 801-66968
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 8
Date: 3/7/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RKL PRIVATE WEALTH
CRD#: 122693 / SEC#: 801-66968
Contact information
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,090 |
| AUM (Assets Under Management) | $ 2,128,225,509 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2025 | ||
| 11/22/2024 | ||
| 01/02/2024 | ||
| 12/28/2022 |
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.
