Richard N. Fichter

OSAIC WEALTH

WILLIAMSVILLE, NY 14221-6650

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CRD#: 1135242

Professional summary

Richard Norman Fichter JR is a registered financial advisor currently at OSAIC WEALTH, INC. located in Williamsville, New York.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Richard has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 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.

FICHTER WEALTH MANAGEMENT INC POSITION: rep NATURE: FICHTER WEALTH MANAGEMENT, INC. - INVESTMENT RELATED- INSURANCE SALES- PRESIDENT- START DATE: 3/2006 LOCATED AT 25 CALIFORNIA DRIVE - WILLIAMSVILLE, NY 14221-6650 INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2006 ADDRESS: 25 CALIFORNIA DR, WILLIAMSVILLE NY 14221, United States DESCRIPTION: Sell term insurance, LTC and fixed annuities FIRST BAPTIST CHURCH OF WEST SENECA POSITION: deacon NATURE: Deacon in church INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2017 ADDRESS: 511 Union Road, West Seneca NY 14224, United States DESCRIPTION: Minister to the church membership in a variety of ways

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Norman Fichter JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Richard Norman Fichter JR's CRS (Customer Relationship Summary).

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

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 25 California Dr, Williamsville, NY 14221-6650

RIA

CRD#: 23131

WILLIAMSVILLE, NY

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 25 California Dr, Williamsville, NY 14221-6650

RIA

CRD#: 23131

WILLIAMSVILLE, NY

Past

March 1, 2010 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

WILLIAMSVILLE, NY

Past

July 23, 2002 - October 4, 2004

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

WILLIAMSVILLE, NY

Past

March 5, 1991 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

WILLIAMSVILLE, NY

Past

September 17, 1985 - February 28, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 20, 1983 - September 24, 1985

EMPIRE NATIONAL SECURITIES, INCORPORATED

CRD#: 7361

Past

June 9, 1983 - November 17, 1983

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(6/14/2024)

Arizona
(6/14/2024)

Arkansas
(6/14/2024)

California
(6/14/2024)

Colorado
(6/14/2024)

Connecticut
(6/14/2024)

Florida
(6/14/2024)

IAR

Florida
(6/14/2024)

Illinois
(3/12/2025)

Indiana
(6/14/2024)

Kentucky
(6/14/2024)

Maryland
(6/14/2024)

Michigan
(6/14/2024)

Minnesota
(6/14/2024)

Missouri
(6/14/2024)

New Jersey
(6/14/2024)

New York
(6/14/2024)

IAR

New York
(6/14/2024)

North Carolina
(6/14/2024)

IAR

North Carolina
(6/14/2024)

Ohio
(6/14/2024)

Pennsylvania
(6/14/2024)

South Carolina
(6/14/2024)

Tennessee
(6/14/2024)

Texas
(6/14/2024)

IAR

Texas
(6/14/2024)

Washington
(6/14/2024)

West Virginia
(6/14/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/27/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/16/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/1983

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/8/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/30/1993

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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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Richard N. Fichter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Norman Fichter JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Richard Norman Fichter JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

MORGAN STANLEY DW INC.

EMPIRE NATIONAL SECURITIES, INCORPORATED

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/27/2010

Series 63

Date: 8/16/1985

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/15/1983

Series 6

Date: 6/8/1983

Series 24

Date: 7/30/1993

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

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