Richard E. Coakley

WAYPOINT STRATEGIC ADVISORS

Summerville, SC 29485

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CRD#: 1154814

Professional summary

Richard Eugene Coakley, who also goes by Rick Coakley, is a registered financial advisor currently at WAYPOINT STRATEGIC ADVISORS located in Summerville, South Carolina.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Richard has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Coakley

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.

MASS MUTUAL; SUMMERVILLE, SC; INSURANCE PRODUCTS SALES AND SERVICES; INSURANCE AGENT; 07/1978-PRESENT Rx INSURANCE GROUP, LLC; INV REL; SUMMERVILLE, SC; INSURANCE PRODUCTS SALES AND SERVICES; MEMBER/INSURANCE AGENT; 04/2021.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Eugene Coakley'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

December 13, 2010 - Present

WAYPOINT STRATEGIC ADVISORS

Office #1: 10570 Dorchester Rd., Summerville, SC 29485

RIA

CRD#: 152077

Summerville, SC

Past

April 18, 2000 - December 13, 2010

STRATEGIC FINANCIAL DECISIONS, LLC

RIA

CRD#: 139846

SUMMERVILLE, SC

Past

September 12, 1986 - September 12, 2001

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

July 11, 1983 - January 2, 1988

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CRD#: 2682

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".

WAYPOINT STRATEGIC ADVISORS

WAYPOINT STRATEGIC ADVISORS | WAYPOINT STRATEGIC ADVISORS, LLC

CRD#: 152077 / SEC#: 801-120800

RIA

Registered Investment Advisory firm - (4/15/2021 Approved)

Louisiana

Registered Investment Advisory firm - (6/15/2021 Terminated)

New York

Registered Investment Advisory firm - (6/9/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (6/9/2021 Terminated)

South Carolina

Registered Investment Advisory firm - (6/9/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/9/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

South Carolina
(12/13/2010)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/30/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/27/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 7/8/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WAYPOINT STRATEGIC ADVISORS

WAYPOINT STRATEGIC ADVISORS | WAYPOINT STRATEGIC ADVISORS, LLC

CRD#: 152077 / SEC#: 801-120800

RIA

Registered Investment Advisory firm - (4/15/2021 Approved)

Louisiana

Registered Investment Advisory firm - (6/15/2021 Terminated)

New York

Registered Investment Advisory firm - (6/9/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (6/9/2021 Terminated)

South Carolina

Registered Investment Advisory firm - (6/9/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/9/2021 Terminated)

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Contact information

Main Address

10570 Dorchester Rd., Summerville, SC 29485

Mailing Address

Phone number

(843) 873-4420

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV2A/2B - SEC (3/18/2025)

Regulatory assets under management

Total Number of Accounts	728
AUM (Assets Under Management)	$ 136,300,000

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 E. Coakley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Eugene Coakley's CRS (Customer Relationship Summary).

Certified licenses

Experience

WAYPOINT STRATEGIC ADVISORS

STRATEGIC FINANCIAL DECISIONS, LLC

MML INVESTORS SERVICES, LLC

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

Primary Firm SEC Registration

WAYPOINT STRATEGIC ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/1999

Series 63

Date: 1/27/1997

Series 6

Date: 7/8/1983

Current Firm

WAYPOINT STRATEGIC ADVISORS

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WAYPOINT STRATEGIC ADVISORS

TRUST BUT VERIFY

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