Richard L. Atha
Professional summary
Richard L Atha, who also goes by Dick Atha, Richard Lee Atha, Richard Atha, is a registered financial advisor currently at WATERROCK WEALTH MANAGEMENT located in Albuquerque, New Mexico.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Richard has worked at 13 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard L Atha's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 11, 2023 - Present
WATERROCK WEALTH MANAGEMENT
Office #1: 6565 Americas Parkway Ne Ste 200, Albuquerque, NM 87110November 15, 2017 - January 23, 2023
CENTER STREET ADVISORS, INC.
July 25, 2017 - September 20, 2017
ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC
August 21, 2008 - December 17, 2008
AMERITAS INVESTMENT COMPANY, LLC
August 10, 2007 - August 4, 2008
MSI FINANCIAL SERVICES, INC.
July 18, 2007 - August 4, 2008
MSI FINANCIAL SERVICES, INC.
April 29, 2005 - July 19, 2007
TRANSAMERICA FINANCIAL ADVISORS, INC.
May 25, 2004 - July 19, 2007
TRANSAMERICA FINANCIAL ADVISORS, INC.
March 19, 2003 - May 24, 2004
NYLIFE SECURITIES LLC
June 22, 2001 - December 31, 2002
VOYA FINANCIAL ADVISORS, INC.
May 4, 2000 - June 15, 2001
TRANSAMERICA FINANCIAL ADVISORS, INC.
December 1, 1997 - March 23, 2000
CAPITAL BROKERAGE CORPORATION
April 10, 1997 - December 1, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
March 21, 1994 - April 18, 1997
VOYA FINANCIAL ADVISORS, INC.
August 11, 1993 - March 3, 1994
GUARDIAN INVESTOR SERVICES LLC
June 16, 1992 - May 27, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
June 16, 1992 - May 27, 1993
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
WATERROCK WEALTH MANAGEMENT
CRD#: 296462 / SEC#: 801-128547
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/17/2025)
(5/11/2023)
Exams
Current Firm
WATERROCK WEALTH MANAGEMENT
CRD#: 296462 / SEC#: 801-128547
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 290 |
| AUM (Assets Under Management) | $ 153,703,156 |
Red Flags
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Company Information
WATERROCK WEALTH MANAGEMENT
CRD#: 296462Albuquerque, NM 87110TRUST BUT VERIFY
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