Ronald J. Waskow

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT

Williamsville, NY 14221

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CRD#: 4912121

Professional summary

Ronald J Waskow, who also goes by Ronald J Waskow Mr., is a registered financial advisor currently at INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC located in Williamsville, New York and PEAK BROKERAGE SERVICES, LLC located in Williamsville, New York.

Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Ronald has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ronald J Waskow Mr.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald J Waskow'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 6, 2025 - Present

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

Office #1: 305 Spindrift Drive, Williamsville, NY 14221

RIA

CRD#: 144733

Williamsville, NY

Current

February 27, 2017 - Present

PEAK BROKERAGE SERVICES, LLC

Office #1: 305 Spindrift Drive, Williamsville, NY 14221

CRD#: 157045

Williamsville, NY

Past

March 28, 2017 - January 6, 2025

BLACKRIDGE ASSET MANAGEMENT, LLC

RIA

CRD#: 277085

JUPITER, FL

Past

September 9, 2016 - February 8, 2017

LPL FINANCIAL LLC

CRD#: 6413

LACKAWANNA, NY

Past

November 18, 2014 - September 12, 2016

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

WILLIAMSVILLE, NY

Past

March 15, 2013 - November 17, 2014

CADARET, GRANT & CO., INC.

CRD#: 10641

E. AMHERST`, NY

Past

July 25, 2006 - September 28, 2012

NEW ENGLAND SECURITIES

CRD#: 615

WILLIAMSVILLE, NY

Past

June 7, 2005 - January 19, 2006

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

CRD#: 144733 / SEC#: 801-69708

RIA

Registered Investment Advisory firm - (11/10/2008 Approved)

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

Florida
(11/5/2024)

Georgia
(6/1/2022)

Kentucky
(12/13/2023)

New York
(2/27/2017)

IAR

New York
(1/6/2025)

North Carolina
(12/13/2017)

South Carolina
(11/15/2019)

Tennessee
(6/9/2021)

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 66

Date: 10/12/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/6/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

CRD#: 144733 / SEC#: 801-69708

RIA

Registered Investment Advisory firm - (11/10/2008 Approved)

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Contact information

Main Address

305 Spindrift Drive, Williamsville, NY 14221

Mailing Address

Phone number

(716) 568-8566

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ISWM FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	6,427
AUM (Assets Under Management)	$ 1,226,210,629

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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Ronald J. Waskow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald J Waskow's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

PEAK BROKERAGE SERVICES, LLC

BLACKRIDGE ASSET MANAGEMENT, LLC

LPL FINANCIAL LLC

CETERA INVESTMENT SERVICES LLC

CADARET, GRANT & CO., INC.

NEW ENGLAND SECURITIES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/12/2017

SIE

Date: 10/1/2018

Series 7

Date: 6/6/2005

FINRA

Current Firm

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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