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Richard J. Osmond

AE WEALTH MANAGEMENT
Bluffton, SC 29910
Some features on this profile are disabled
CRD#: 5162601
RO

Professional summary

Richard Joseph Osmond Jr, who also goes by Richard Joseph Osmond Jr., Richard Osmond, Richard J Osmond Jr, Richard J Osmond, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Bluffton, South Carolina.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Richard has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Richard Joseph Osmond Jr. | Richard Osmond | Richard J Osmond Jr | Richard J Osmond

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 Richard Joseph Osmond Jr'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

September 10, 2024 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 7 Carroll Ct, Bluffton, SC 29910Office #2: 3350 Route 138 Building #1, Ste 111, Wall, NJ 07719Office #3: 3350 State Route 138 Ste 112, Wall, NJ 07719
RIA
CRD#: 282580
Bluffton, SC
Past

January 20, 2023 - August 20, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
LAKEWOOD, NJ
Past

November 14, 2022 - August 20, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
LAKEWOOD, NJ
Past

February 22, 2019 - April 8, 2022

SANTANDER SECURITIES LLC

BD
CRD#: 41791
Manalapan, NJ
Past

October 1, 2012 - January 8, 2019

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
JACKSON, NJ
Past

June 25, 2007 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
HOWELL, NJ
Past

June 21, 2006 - April 23, 2007

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
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".
AW
AE WEALTH MANAGEMENT, LLC
AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA
Registered Investment Advisory firm - (2/17/2016 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
New Jersey
(9/10/2024)
IAR
South Carolina
(9/20/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/6/2023
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/5/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/28/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/20/2006
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AW
AE WEALTH MANAGEMENT, LLC
AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA
Registered Investment Advisory firm - (2/17/2016 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2950 Sw Mcclure Road Suite B, Topeka, KS 66614
Mailing Address
Phone number
(866) 363-9595
Established
Firm type
Fiscal year end
# of Employees
602

SEC notice filing (52 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

FORM ADV PART 2A APPENDIX 1 (10/1/2025)
FORM ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts111,059
AUM (Assets Under Management)$ 37,525,706,084

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

AE WEALTH MANAGEMENT, LLC

CRD#: 282580Bluffton, SC 29910

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