Walter S. Marbert

RICHARD YOUNG ASSOCIATES, LTD.

AUGUSTA, GA 30907

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CRD#: 2590560

Professional summary

Walter Stephen Marbert, CFP®, who also goes by Steve Marbert, Walter Marbert, is a registered financial advisor currently at RICHARD YOUNG ASSOCIATES, LTD. located in Augusta, Georgia.

Walter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Walter has worked at 4 firms and has passed the Series 63, Series 65, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Marbert | Walter Marbert

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.

RICHARD YOUNG ASSOCIATES, LTD;REG INVESTMENT ADVISOR; OWNER, PRESIDENT AND REPRESENTIVE - FEE BASED ASSET MANAGEMENT AND FINANCIAL PLANNING; 205 HUDSON TRACE, STE A, AUGUSTA, GA 30907 INSURANCE SALES; INVESTMENT RELATED; GEORGIA; INSURANCE AGENT; 2019; APPROXIMATELY 5% HRS/MONTH DURING TRADING HOURS; SALES OF VARIOUS INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter Stephen Marbert'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®

CFP^®

Certified Financial Planner

Start date: 1998

Experience

Current

April 29, 2003 - Present

RICHARD YOUNG ASSOCIATES, LTD.

Office #1: 205 Hudson Trace Suite A, Augusta, GA 30907

RIA

CRD#: 126124

AUGUSTA, GA

Past

November 2, 2009 - January 8, 2010

NATIONAL PLANNING CORPORATION

CRD#: 29604

AUGUSTA, GA

Past

June 28, 2006 - November 3, 2009

MAIN STREET SECURITIES, LLC

CRD#: 47127

AUGUSTA, GA

Past

June 21, 2006 - June 26, 2006

OSAIC FS, INC.

CRD#: 3870

AUGUSTA, GA

Past

April 26, 1995 - June 16, 2006

OSAIC FS, INC.

CRD#: 3870

AUGUSTA, GA

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".

RICHARD YOUNG ASSOCIATES, LTD.

CRD#: 126124 / SEC#: 801-70318

RIA

Registered Investment Advisory firm - (6/22/2009 Approved)

Georgia

Registered Investment Advisory firm - (6/24/2009 Terminated)

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.

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

Georgia
(4/29/2003)

IAR

Texas
(4/23/2015)

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: 5/9/1995

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/7/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 4/25/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/28/1997

General Securities Principal Examination

Current Firm

RICHARD YOUNG ASSOCIATES, LTD.

CRD#: 126124 / SEC#: 801-70318

RIA

Registered Investment Advisory firm - (6/22/2009 Approved)

Georgia

Registered Investment Advisory firm - (6/24/2009 Terminated)

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Contact information

Main Address

205 Hudson Trace, Augusta, GA 30907

Mailing Address

Phone number

(706) 739-0725

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (10/3/2025)

Regulatory assets under management

Total Number of Accounts	4,709
AUM (Assets Under Management)	$ 972,379,424

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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Advisor Monitoring

Firm Stability Insights

Walter S. Marbert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter Stephen Marbert's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL PLANNING CORPORATION

MAIN STREET SECURITIES, LLC

OSAIC FS, INC.

OSAIC FS, INC.

Primary Firm SEC Registration

RICHARD YOUNG ASSOCIATES, LTD.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/9/1995

Series 65

Date: 2/7/1995

Series 7

Date: 4/25/1995

Series 24

Date: 4/28/1997

Current Firm

RICHARD YOUNG ASSOCIATES, LTD.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RICHARD YOUNG ASSOCIATES, LTD.

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