Andrew W. Atherton

OSAIC WEALTH

Flint, MI 48507

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CRD#: 4208366

Professional summary

Andrew W Atherton is a registered financial advisor currently at OSAIC WEALTH, INC. located in Flint, Michigan.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Andrew has worked at 5 firms and has passed the Series 65, 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. ANDREW ATHERTON POSITION: Sole Proprietor NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/23/2004 ADDRESS: G-3339 Van Slyke Rd, PO Box 7909, Flint MI 48507, United States DESCRIPTION: Fixed Insurance Sales 2. ENCOMPASS TAX & INVESTMENT GROUP LLC POSITION: Owner NATURE: business is structured as an LLC INVESTMENT RELATED: No NUMBER OF HOURS: 145 SECURITIES TRADING HOURS: 125 START DATE: 08/01/2007 ADDRESS: G-3339 Van Slyke Rd, PO Box 7909, Flint MI 48507, United States DESCRIPTION: I prepare tax returns for individuals, corporations, partnerships & trusts. We also provide payroll and accounting services for businesses. I also use this business name for the securities business 3. YOUNG, HECK & ATHERTON LLC POSITION: 100% Owner NATURE: LLC taxed as an "S" Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 12/15/2008 ADDRESS: G-3339 Van Slyke Rd, PO Box 7909, Flint MI 48507, United States DESCRIPTION: Manage the ownership of a commercial building, paying bills and maintenance of building. My securities business is the sole tenant of the building.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew W Atherton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Andrew W Atherton'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®

None

Experience

Current

January 19, 2024 - Present

OSAIC WEALTH, INC.

Office #1: G-3339 Van Slyke Road, Flint, MI 48507

RIA

CRD#: 23131

Flint, MI

Current

January 19, 2024 - Present

OSAIC WEALTH, INC.

Office #1: G-3339 Van Slyke Road, Flint, MI 48507

RIA

CRD#: 23131

Flint, MI

Past

March 1, 2019 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

FLINT, MI

Past

March 1, 2019 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

FLINT, MI

Past

July 7, 2010 - March 1, 2019

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

FLINT, MI

Past

January 16, 2004 - March 1, 2019

QUESTAR CAPITAL CORPORATION

CRD#: 43100

FLINT, MI

Past

July 18, 2000 - January 27, 2004

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver 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.

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

Arizona
(1/19/2024)

Arkansas
(1/19/2024)

California
(1/19/2024)

Colorado
(1/19/2024)

Florida
(1/19/2024)

Georgia
(1/19/2024)

Illinois
(1/19/2024)

Indiana
(1/19/2024)

Kentucky
(1/19/2024)

Louisiana
(1/19/2024)

Maryland
(1/19/2024)

Massachusetts
(1/19/2024)

Michigan
(1/19/2024)

IAR

Michigan
(1/19/2024)

Minnesota
(1/19/2024)

Mississippi
(4/1/2024)

Missouri
(1/19/2024)

Nevada
(5/30/2025)

New Jersey
(1/19/2024)

North Carolina
(1/19/2024)

Ohio
(1/19/2024)

Oklahoma
(1/19/2024)

Pennsylvania
(1/19/2024)

South Carolina
(1/19/2024)

Tennessee
(1/19/2024)

Texas
(1/19/2024)

Virginia
(1/19/2024)

Washington
(7/23/2024)

Wisconsin
(1/19/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/13/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/17/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/17/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/29/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

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

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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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Andrew W. Atherton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew W Atherton's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Andrew W Atherton's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

SII INVESTMENTS, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/13/2003

Series 63

Date: 7/17/2000

SIE

Date: 10/1/2018

Series 7

Date: 7/17/2000

Series 24

Date: 12/29/2006

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

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