EV
Eric R. Van Buskirk
OSAIC INSTITUTIONS
Roanoke, VA 24018
Some features on this profile are disabled
CRD#: 6852662
EV
Professional summary
Eric Ralph Van Buskirk JR, who also goes by Rick Van Buskirk, Ricky Van Buskirk, Eric Vanbuskirk, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Roanoke, Virginia.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Eric has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Van Buskirk | Ricky Van Buskirk | Eric Vanbuskirk
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)Name of Business: HomeTrust Bank Address: 3956 Electric Rd, Roanoke, VA 24018, United States Activity Type: Bank Associate Position/Title: Financial Advisor Investment Related: Yes Start Date: 05/28/2025 Hours per month devoted to this business: 160 Hours per month devoted to this business during trading hours: 130 Description of duties: employee of HomeTrust Bank (2)Name of Business: RRicskEmporium Address: 1506 Bush Farm Drive, Vinton, VA, 24179, United States Activity Type: Part-Time Activity/Employment Position/Title: Other Investment Related: No Start Date: 09/23/2012 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Storefront Owner
CRS (Client Relationship Summary) - RIA
Click below to view Eric Ralph Van Buskirk JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Ralph Van Buskirk JR'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
May 28, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 3956 Electric Road, Roanoke, VA 24018Office #2: 106 South Van Buren Road, Eden, NC 27288Office #3: 2805 Reid School Road, Reidsville, NC 27320RIA
BD
CRD#: 35371
Roanoke, VA
Current
May 28, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 3956 Electric Road, Roanoke, VA 24018Office #2: 106 South Van Buren Road, Eden, NC 27288Office #3: 2805 Reid School Road, Reidsville, NC 27320RIA
BD
CRD#: 35371
Roanoke, VA
Past
December 3, 2024 - May 14, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Roanoke, VA
Past
December 3, 2024 - May 14, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Roanoke, VA
Past
April 10, 2023 - December 3, 2024
LEVEL FOUR ADVISORY SERVICES
RIA
CRD#: 134086
ROANOKE, VA
Past
April 10, 2023 - December 3, 2024
LEVEL FOUR FINANCIAL, LLC
BD
CRD#: 25700
Roanoke, VA
Past
December 12, 2022 - March 20, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
ROANOKE, VA
Past
December 12, 2022 - March 20, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
ROANOKE, VA
Past
May 7, 2019 - July 27, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SALEM, VA
Past
November 1, 2017 - July 27, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SALEM, VA
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
Virginia(5/28/2025)
IAR
Virginia(5/28/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/15/2019
General Securities Representative ExaminationGeneral 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.
