Ross L. Wamsley

ST. BERNARD FINANCIAL SERVICES

West Jordan, UT

Some features on this profile are disabled

CRD#: 5074829

Professional summary

Ross L Wamsley, who also goes by Ross Wamsley, is a registered financial advisor currently at ST. BERNARD FINANCIAL SERVICES, INC. located in West Jordan, Utah.

Ross is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Ross has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ross Wamsley

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.

NAME OF ENTITY:INDEPENDENT INSURANCE AGENT; Yes; 5237 SADDLE CREEK CIR; WEST JORDAN; UT; 84081; FIXED INSURANCE; INDEPENDENT INSURANCE AGENT; 10/27/2016; 160; 160; SALE OF FIXED INSURANCE PRODUCTS.|NAME OF ENTITY:KWAY ENTERPRISES; No; PO BOX 1099; BOULDER CITY; NV; 89001; RENTAL PROPERTIES; GENERAL PARTNER; 1/1/1992; 0; 0; FAMILY RENTALS AND PROPERTY|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross L Wamsley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Ross L Wamsley'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

June 29, 2023 - Present

ST. BERNARD FINANCIAL SERVICES, INC.

RIA

CRD#: 36956

West Jordan, UT

Current

June 20, 2023 - Present

ST. BERNARD FINANCIAL SERVICES, INC.

Office #1: 1609 West Main St, Russellville, AR 72801Office #2: 1609 West Main St., Russellville, AR 72801

CRD#: 36956 / SEC#: 801-113763, 8-47566

RIA

Registered Investment Advisory firm - SEC (7/31/2018 Approved)

Arkansas

Registered Investment Advisory firm - SEC (11/1/2018 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (8/21/2018 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/31/2018 Terminated)

Indiana

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Missouri

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Virginia

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/9/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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.

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
(6/20/2023)

Utah
(6/20/2023)

IAR

Utah
(6/29/2023)

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: 5/20/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/8/2006

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: 2/1/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ST. BERNARD FINANCIAL SERVICES, INC.

CRD#: 36956 / SEC#: 801-113763, 8-47566

RIA

Registered Investment Advisory firm - SEC (7/31/2018 Approved)

Arkansas

Registered Investment Advisory firm - SEC (11/1/2018 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (8/21/2018 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/31/2018 Terminated)

Indiana

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Missouri

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Virginia

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/9/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1609 West Main St., Russellville, AR 72801

Mailing Address

1609 West Main St., Russellville, AR 72801

Phone number

(479) 967-1200

Established

Arkansas since 03/24/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

109

SEC notice filing (40 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PT 2 02-01-2024 (1/29/2025)

Direct owners and executive officers

Name	Position	CRD#
ROBERT KEENAN REVOCABLE TRUST	OWNER
CELI, MARK EDWARD	OPTIONS PRINCIPAL	1676074
DYER, SHARON JANE	ASSISTANT FINOP AND MUNI PRINCIPAL	1456415
KEENAN, ROBERT JR	CEO, CCO, TRUSTEE OF ROBERT KEENAN TRUST	2000976

Regulatory assets under management

Total Number of Accounts	841
AUM (Assets Under Management)	$ 130,472,570

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ross L. Wamsley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross L Wamsley's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Ross L Wamsley's CRS (Customer Relationship Summary).

Certified licenses

Experience

ST. BERNARD FINANCIAL SERVICES, INC.

FOX CHASE CAPITAL PARTNERS, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

ST. BERNARD FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/20/2008

Series 63

Date: 2/8/2006

SIE

Date: 10/1/2018

Series 7

Date: 2/1/2006

FINRA

Current Firm

ST. BERNARD FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (40 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ST. BERNARD FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors