RW
Richard K. Wiethorn
OSAIC INSTITUTIONS
Clinton, NC 28328
Some features on this profile are disabled
CRD#: 4313050
RW
Professional summary
Richard Kenneth Wiethorn, who also goes by Richard Wiethorn, Rick Wiethorn, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Clinton, North Carolina.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Richard has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Wiethorn | Rick Wiethorn
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.) 4/13/20 Compensated from investment-related sales of insurance and annuities through firm and its affiliated entities FTB Advisors Insurance Services, Inc. and First Horizon Insurance Services, Inc. Located at CRD Branch. 2.) Southern Bank. Yes, investment related. Started Jan 2024. Financial Advisor Referral Program. 1% increase in grid payout if meet referral goal. Refer business to Southern Bank partners.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Kenneth Wiethorn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Kenneth Wiethorn'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®
NoneExperience
Current
July 6, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1008 Sunset Avenue, Clinton, NC 28328RIA
BD
CRD#: 35371
Clinton, NC
Current
July 6, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1008 Sunset Avenue, Clinton, NC 28328RIA
BD
CRD#: 35371
Clinton, NC
Past
April 13, 2020 - July 14, 2022
FIRST HORIZON ADVISORS, INC.
RIA
CRD#: 17117
Raleigh, NC
Past
April 13, 2020 - July 14, 2022
FIRST HORIZON ADVISORS, INC.
BD
CRD#: 17117
Raleigh, NC
Past
September 10, 2015 - April 16, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GARNER, NC
Past
September 10, 2015 - April 16, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
GARNER, NC
Past
June 4, 2014 - September 10, 2015
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
CRD#: 44430
Smithfield, NC
Past
June 2, 2014 - September 10, 2015
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
Smithfield, NC
Past
August 3, 2011 - June 2, 2014
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
BRIDGEVILLE, PA
Past
August 3, 2011 - June 2, 2014
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
BRIDGEVILLE, PA
Past
August 10, 2010 - July 22, 2011
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
PITTSBURGH, PA
Past
August 10, 2010 - July 22, 2011
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
PITTSBURGH, PA
Past
December 5, 2008 - August 12, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
WEYFORD, PA
Past
July 30, 2004 - July 30, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
WEXFORD, PA
Past
July 30, 2004 - July 30, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
WEXFORD, PA
Past
April 20, 2004 - July 28, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
PITTSBURGH, PA
Past
April 20, 2004 - July 28, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
May 18, 2001 - May 26, 2004
GA FINANCIAL STRATEGIES LLC
RIA
CRD#: 122626
PITTSBURGH, PA
Past
February 26, 2001 - May 11, 2004
ALLEGHENY INVESTMENTS, LTD.
BD
CRD#: 7597
PITTSBURGH, PA
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
North Carolina(7/6/2022)
IAR
North Carolina(7/6/2022)
RR
Pennsylvania(3/22/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 35371Clinton, NC 28328TRUST BUT VERIFY
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