Rita A. Herndon

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CRD#: 1500849

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.

Rita Anne Herndon, who also goes by Rita Anne Bartsch, Rita Anne Campbell, was a registered financial professional .

Rita is a previously registered financial professional and started their career in finance in 1987. Rita had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rita Anne Bartsch | Rita Anne Campbell

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 26, 2015 - January 11, 2016

WESBANCO SECURITIES, INC.

CRD#: 43276

WHEELING, WV

Past

March 16, 2015 - October 14, 2015

WESBANCO SECURITIES, INC.

RIA

CRD#: 43276

PARKERSBURG, WV

Past

September 8, 1999 - October 14, 2015

WESBANCO SECURITIES, INC.

CRD#: 43276

PARKERSBURG, WV

Past

September 16, 1987 - September 7, 1999

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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".

WESBANCO SECURITIES, INC.

COMMBANC INVESTMENTS, INC. | WESBANCO SECURITIES, INC.

CRD#: 43276 / SEC#: 801-119845, 8-50220

RIA

Registered Investment Advisory firm - SEC (12/8/2020 Approved)

Indiana

Registered Investment Advisory firm - SEC (1/8/2021 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (12/22/2020 Terminated)

Maryland

Registered Investment Advisory firm - SEC (12/23/2020 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (12/23/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (12/23/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (12/23/2020 Terminated)

West Virginia

Registered Investment Advisory firm - SEC (12/31/2020 Terminated)

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

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 10/5/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/11/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/3/1995

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/18/1995

General Securities Principal Examination

Current Firm

WESBANCO SECURITIES, INC.

COMMBANC INVESTMENTS, INC. | WESBANCO SECURITIES, INC.

CRD#: 43276 / SEC#: 801-119845, 8-50220

RIA

Registered Investment Advisory firm - SEC (12/8/2020 Approved)

Indiana

Registered Investment Advisory firm - SEC (1/8/2021 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (12/22/2020 Terminated)

Maryland

Registered Investment Advisory firm - SEC (12/23/2020 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (12/23/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (12/23/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (12/23/2020 Terminated)

West Virginia

Registered Investment Advisory firm - SEC (12/31/2020 Terminated)

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

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Contact information

Main Address

135 West Main St, St Clairsville, OH 43950

Mailing Address

1 Bank Plaza, Wheeling, WV 26003

Phone number

(304) 905-7215

Established

Ohio since 10/03/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

100

SEC notice filing (25 States and Territories)

FINRA licenses (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WSI ADV PART 2B BROCHURE SUPPLEMENT - TUSSING, BRIAN (10/3/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - REBEIRO, BISWOJIT (10/3/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - BRADAICK, DANIEL (10/3/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - EGLI, CHRISTOPHER (10/3/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - SPARLING, ERIC (10/3/2025)

WSI ADV PART 2B BROCHURE SUPPLEMET - NOTHSTINE, ANDREW (10/3/2025)

WS! ADV PART 2B BROCHURE SUPPLEMENT - DOLENCE, SPENCER (10/3/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT-DIAS, JAY (10/3/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT-BRANNARE, STEFAN (10/3/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT-BLAUS, BRENT (10/3/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT-ROBINSON, DAVID (10/3/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - HYDE, ROBERT (10/3/2025)

WSI ADV PART 2 B BROCHURE SUPPLEMENT - WALTER, CHRISTOPHER (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - PHILPOTT, MARK (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT DAVIS, KEVIN (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - DUNBAR, KELSIE (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - MCFARLAND, JASON (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - SEEN, MICAH (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - CARROLL, BROOKE (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - KORINKO, VICKI (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - WATSON, KAREN (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - MICHEL, KIRK (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - FISHER, TIM (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - HUGHES, A.J. (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - MORRIS, ADAM (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT-BAILEY ZACHARY (3/21/2025)

FORM ADV WESBANCO SECURITIES, INC. (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - LINO, CHAD (3/21/2025)

FORM ADV PART 2B BROCHURE SUPPLEMENT - CONNER, LEROY (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - TALBERT ABBIE (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - REYNOLDS, DAVID (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - WILSON, ROSE (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - CURNES, PAUL (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - BERTRAM, HOWARD (3/21/2025)

WSI ADV PART 2 B BROCHURE SUPPLEMENT - STARCHER, JAMIE (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - GORDON, DEBBIE (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - SHARPE SHERRI (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - MCGINLEY, DAVID (3/21/2025)

WSI ADV PART 2B BROCHURE SUPPLEMENT - WILEY, VICKI (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
WESBANCO INC.	OWNER
CONNER, JAMES LEROY	FINOP	5339285
GARDILL, JAMES C	COUNSEL
JACKSON, JEFF	DIRECTOR	7692472
LOVE, SCOTT ALAN	DIRECTOR	2854247
LUZAR, JAY MICHAEL	DIRECTOR
PERKINS, MICHAEL L	DIRECTOR	7531438
STAVSKY, LISA FINKELSTEIN	DIRECTOR - MANAGING DIRECTOR/PRESIDENT/CEO	1749197
WILSON, ROSE LYNN	CCO, MANAGING DIRECTOR OF COMPLIANCE & DIRECTOR	4072715
ZATTA, JAY	DIRECTOR	7693273

Regulatory assets under management

Total Number of Accounts	850
AUM (Assets Under Management)	$ 166,458,070

Disclosures

Regulatory Event

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

Rita A. Herndon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WESBANCO SECURITIES, INC.

WESBANCO SECURITIES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

WESBANCO SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/5/1987

SIE

Date: 1/11/2016

Series 7

Date: 8/15/1987

Series 53

Date: 10/3/1995

Series 24

Date: 9/18/1995

Current Firm

WESBANCO SECURITIES, INC.

Contact information

SEC notice filing (25 States and Territories)

FINRA licenses (28 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WESBANCO SECURITIES, INC.

TRUST BUT VERIFY

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