Richard I. Veidenheimer
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 Ian Veidenheimer, who also goes by Dick Veidenheimer, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 9 firms and has passed the Series 66, Series 63, Series 7, Series 6 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
February 17, 2012 - August 23, 2022
RWA WEALTH PARTNERS
March 25, 2011 - December 7, 2016
ADVISER INVESTMENTS ACQUISITION CO LLC
November 2, 2005 - March 23, 2011
E*TRADE SECURITIES LLC
August 19, 2004 - March 29, 2011
KOBREN INSIGHT MANAGEMENT INC
August 18, 2004 - November 11, 2005
KOBREN INSIGHT BROKERAGE, INC
June 4, 2002 - June 30, 2004
CHARLES SCHWAB & CO., INC.
May 22, 1998 - September 14, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
January 6, 1987 - May 22, 1998
FIDELITY BROKERAGE SERVICES LLC
March 13, 1986 - December 16, 1986
FIDELITY DISTRIBUTORS CORPORATION
Primary Firm SEC Registration
RWA WEALTH PARTNERS
CRD#: 156984 / SEC#: 801-73098
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 8
Date: 8/22/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RWA WEALTH PARTNERS
CRD#: 156984 / SEC#: 801-73098
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,490 |
| AUM (Assets Under Management) | $ 17,255,241,142 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2025 | ||
| 09/29/2023 | ||
| 12/09/2022 |
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.
