Robert S. Waas

RSW INVESTMENTS

SUMMIT, NJ 07901

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CRD#: 1278249

Professional summary

Robert Steven Waas is a registered financial advisor currently at RSW INVESTMENTS located in Summit, New Jersey.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Robert has worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 3 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Steven Waas'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

May 22, 2019 - Present

RSW INVESTMENTS

Office #1: 47 Maple Street Suite 304, Summit, NJ 07901

RIA

CRD#: 302023

SUMMIT, NJ

Past

February 18, 2005 - May 22, 2019

RSW INVESTMENTS, LLC

RIA

CRD#: 134261

SUMMIT, NJ

Past

August 25, 2000 - December 13, 2004

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

August 9, 1995 - December 9, 1997

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Past

October 21, 1992 - June 29, 1995

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

August 21, 1991 - August 10, 1992

GERMANO MUNICIPALS CORP.

CRD#: 24960

SANIBEL, FL

Past

July 26, 1984 - October 1, 1988

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

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".

RSW INVESTMENTS

RSW INVESTMENTS | RSW INVESTMENTS HOLDINGS, LLC | RSW INVESTMENTS HOLDINGS LLC

CRD#: 302023 / SEC#: 801-115302

RIA

Registered Investment Advisory firm - (5/17/2019 Approved)

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

New Jersey
(5/28/2019)

IAR

Texas
(5/22/2019)

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: 2/8/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/5/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/24/2000

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 4/22/1999

National Commodity Futures Examination

Current Firm

RSW INVESTMENTS

RSW INVESTMENTS | RSW INVESTMENTS HOLDINGS, LLC | RSW INVESTMENTS HOLDINGS LLC

CRD#: 302023 / SEC#: 801-115302

RIA

Registered Investment Advisory firm - (5/17/2019 Approved)

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Contact information

Main Address

47 Maple Street Suite 304, Summit, NJ 07901

Mailing Address

Phone number

(908) 273-4311

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RSW INVESTMENTS HOLDINGS LLC FORM ADV PART 2 (2/27/2025)

Regulatory assets under management

Total Number of Accounts	1,692
AUM (Assets Under Management)	$ 2,365,937,595

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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Firm Stability Insights

Robert S. Waas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Steven Waas's CRS (Customer Relationship Summary).

Certified licenses

Experience

RSW INVESTMENTS, LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BOFA DISTRIBUTORS, INC.

INVESCO CAPITAL MARKETS, INC.

GERMANO MUNICIPALS CORP.

FAM DISTRIBUTORS, INC.

Primary Firm SEC Registration

RSW INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 2/8/2005

Series 63

Date: 5/5/2003

Series 7

Date: 8/24/2000

Series 3

Date: 4/22/1999

Current Firm

RSW INVESTMENTS

Contact information

SEC notice filing (31 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RSW INVESTMENTS

TRUST BUT VERIFY

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