RW
Richard M. Waters
OSAIC INSTITUTIONS
Zephyrhills, FL 33541
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CRD#: 2421557
RW
Professional summary
Richard Michael Waters JR, CFP® is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Zephyrhills, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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.
1.) Publishing author; Submission of financial advice content to be published in a book; Complete a section of the book focused on best practices for NFL players to prepare for life after football; Dade City, FL 33525; Not Investment Related; May 2020; 20-39 hours per month; 0 during trading hours. 2.) Magellan Financial . Financial planning/counseling for military and their families. yes, investment related. Approx 5 hours per month. Approx 2 hours during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Michael Waters JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Michael Waters JR's 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®
CFP®
Start date: 2005
Experience
Current
August 13, 2020 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 36450 Eiland Blvd, Zephyrhills, FL 33541Office #2: 1804 James L Redman Parkway, Plant City, FL 33563RIA
BD
CRD#: 35371
Zephyrhills, FL
Current
August 3, 2020 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 36450 Eiland Blvd, Zephyrhills, FL 33541Office #2: 1804 James L Redman Parkway, Plant City, FL 33563RIA
BD
CRD#: 35371
Zephyrhills, FL
Past
October 17, 2018 - August 5, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Dade City, FL
Past
October 16, 2018 - August 5, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Dade City, FL
Past
February 28, 2014 - October 17, 2018
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
WINTER HAVEN, FL
Past
February 28, 2014 - October 17, 2018
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
WINTER HAVEN, FL
Past
February 5, 2008 - March 12, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
DADE CITY, FL
Past
January 30, 2008 - March 12, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
DADE CITY, FL
Past
December 2, 2004 - January 29, 2008
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
ZEPHYRHILLS, FL
Past
December 1, 2004 - January 29, 2008
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
ZEPHYRHILLS, FL
Past
May 14, 2004 - December 1, 2004
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
ZEPHYRHILLS, FL
Past
May 3, 2004 - December 1, 2004
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
PALM BEACH GARDENS, FL
Past
January 10, 2000 - April 30, 2004
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
ZEPHYRHILLS, FL
Past
January 5, 2000 - April 30, 2004
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
Past
November 10, 1993 - November 1, 1994
LUX INVESTOR SERVICES CORPORATION
BD
CRD#: 18424
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/3/2020)
RR
Florida(8/3/2020)
IAR
Florida(8/13/2020)
RR
Georgia(9/24/2020)
RR
Indiana(8/11/2020)
RR
Michigan(8/3/2020)
RR
New Hampshire(8/3/2020)
RR
New York(8/3/2020)
RR
Pennsylvania(8/3/2020)
RR
South Carolina(8/3/2020)
RR
Texas(8/3/2020)
RR
Virginia(8/3/2020)
RR
Wisconsin(8/3/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
Company Information
OSAIC INSTITUTIONS, INC.
CRD#: 35371Zephyrhills, FL 33541TRUST BUT VERIFY
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