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Rian D. Waterman

FARTHER
DAVENPORT, IA
Some features on this profile are disabled
CRD#: 5121837
RW

Professional summary

Rian Dana Waterman is a registered financial advisor currently at FARTHER located in Davenport, Iowa.

Rian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Rian has worked at 5 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE and Series 7 exams.

top-8-questions

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. Trustee at Mary H Waterman Children's Trust, a family trust. Organization's primary address is in Davenport, IA. Organization is not primarily engaged in investment-related activities. Start Date is January 1st, 2022. Two hours per month. Duties include determining the amount and timing of discretionary distributions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rian Dana Waterman'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

April 9, 2024 - Present

FARTHER

RIA
CRD#: 302050
DAVENPORT, IA
Past

December 23, 2022 - November 15, 2023

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

March 29, 2019 - May 8, 2024

UNITED CAPITAL FINANCIAL ADVISORS

RIA
CRD#: 134600
MOLINE, IL
Past

March 17, 2018 - March 29, 2019

IRONGATE INTERNATIONAL, L.L.C.

RIA
CRD#: 119818
MOLINE, IL
Past

May 30, 2006 - January 3, 2007

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
BETTENDORF, IA
Past

May 12, 2006 - January 3, 2007

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
BETTENDORF, IA

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".
FA
FARTHER
FARTHER | SIGNALPOINT ASSET MANAGEMENT | PLEASANT STREET WEALTH | ONESOURCE WEALTH MANAGEMENT POWERED BY FARTHER | MASSO TORRENCE WEALTH MANAGEMENT INC. | GUILD INVESTMENT MANAGEMENT | FARTHER FINANCE ADVISORS, LLC

CRD#: 302050 / SEC#: 801-116721

RIA
Registered Investment Advisory firm - (7/19/2019 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.

Highlighted states indicate IAR registrations

IAR
Iowa
(4/9/2024)
IAR
Texas
(4/10/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/21/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/17/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/25/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/23/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/19/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/11/2006
General Securities Representative Examination

Current Firm

FA
FARTHER
FARTHER | SIGNALPOINT ASSET MANAGEMENT | PLEASANT STREET WEALTH | ONESOURCE WEALTH MANAGEMENT POWERED BY FARTHER | MASSO TORRENCE WEALTH MANAGEMENT INC. | GUILD INVESTMENT MANAGEMENT | FARTHER FINANCE ADVISORS, LLC

CRD#: 302050 / SEC#: 801-116721

RIA
Registered Investment Advisory firm - (7/19/2019 Approved)
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Contact information

Main Address
345 California Street Suite 600, San Francisco, CA 94104
Mailing Address
Phone number
(628) 246-8004
Established
Firm type
Fiscal year end
# of Employees
275

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

APPENDIX 1 (8/11/2025)
FORM ADV PART 2A (8/11/2025)

Regulatory assets under management

Total Number of Accounts24,245
AUM (Assets Under Management)$ 7,523,810,877

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

FARTHER

CRD#: 302050Davenport, IA

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