Robert W. Warther

WARTHER PRIVATE WEALTH

Akron, OH 44313

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CRD#: 813761

Professional summary

Robert Wayne Warther, who also goes by Bob Warther, is a registered financial advisor currently at WARTHER PRIVATE WEALTH located in Akron, Ohio and INDEPENDENCE CAPITAL CO., INC. located in Akron, Ohio.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Robert has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 1 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Warther

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.

Owner (WARTHER FINANCIAL GROUP), SELL LIFE INSURANCE AND FIXED ANNUITIES, 1075 W Market St Akron OH 44313, Start 8/10/2010, 10 hrs/month, Compensation: Commission. Owner (WARTHER PRIVATE WEALTH, LLC), REGISTERED INVESTMENT ADVISOR, 1075 W Market St Akron OH 44313, 140 hrs/month, Compensation: Fee Based Board Member (WORLD HOPE FOUNDATION), Foundation, 1075 W. MARKET ST, AKRON, OH 44313. start4/2009. 2 HR/MO, Compensation: None. Owner (WARTHER FINANCIAL GROUP), fixed life insurance sales, 1075 WEST MARKET STREET, AKRON, OH 44313, Compensation: Commission. TriAeres Properties LLC, Office Space Rental, 1075 West Market St Akron OH 44313, Start: 2013. Compensation: (Other (Rental) Catalina Aviation Inc, Plane Rental, 1075 West Market St Akron OH 44313, Start: 2013, Compensation: Hourly Robert Warther, Condo Rental, 1500 S Ocean Blvd 603 Pompano Beach FL 33062, Start 2022, Compensation: Other (rental)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Wayne Warther'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

February 18, 2003 - Present

WARTHER PRIVATE WEALTH

Office #1: 1075 West Market St., Akron, OH 44313Office #2: 1075 West Market St., Akron, OH 44313

RIA

CRD#: 125145

Akron, OH

Current

January 9, 2017 - Present

INDEPENDENCE CAPITAL CO., INC.

Office #1: 1075 W. Market Street, Akron, OH 43793Office #2: 2385 Nw Executive Center Dr. Suite 100, Boca Raton, FL 33431Office #3: 5150 Tamiami Trail N. Suite 505, Naples, FL 34103

RIA

CRD#: 24723

Akron, OH

Past

February 14, 2013 - December 31, 2016

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

AKRON, OH

Past

September 8, 2009 - December 12, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

AKRON, OH

Past

September 8, 2009 - February 27, 2013

LPL FINANCIAL LLC

CRD#: 6413

AKRON, OH

Past

January 31, 2002 - June 23, 2003

WARTHER COMPANIES

RIA

CRD#: 115860

AKRON, OH

Past

January 1, 2000 - September 8, 2009

MUTUAL SERVICE CORPORATION

RIA

CRD#: 4806

AKRON, OH

Past

May 28, 1999 - September 8, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

AKRON, OH

Past

August 3, 1993 - May 28, 1999

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

July 9, 1986 - August 4, 1993

MARINER FINANCIAL SERVICES, INC.

CRD#: 8292

LARGO, FL

Past

February 23, 1984 - July 28, 1986

CONSECO FINANCIAL SERVICES, INC.

CRD#: 629

Past

October 17, 1975 - November 16, 1978

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

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".

WARTHER PRIVATE WEALTH

CRD#: 125145 / SEC#: 801-126233

RIA

Registered Investment Advisory firm - (7/28/2022 Approved)

Florida

Registered Investment Advisory firm - (9/2/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (9/7/2022 Terminated)

Ohio

Registered Investment Advisory firm - (9/6/2022 Terminated)

Pennsylvania

Registered Investment Advisory firm - (5/19/2010 Terminated)

Texas

Registered Investment Advisory firm - (9/2/2022 Terminated)

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

Alabama
(2/8/2017)

Florida
(4/19/2017)

IAR

Florida
(7/27/2018)

Indiana
(6/30/2021)

Michigan
(1/31/2017)

New Jersey
(5/10/2017)

IAR

Ohio
(2/18/2003)

Ohio
(1/9/2017)

Pennsylvania
(1/13/2017)

South Carolina
(10/16/2025)

IAR

Texas
(9/1/2021)

Washington
(5/23/2017)

West Virginia
(5/2/2017)

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 65

Date: 1/10/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/18/1995

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: 2/12/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/22/1984

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 1

Date: 10/11/1975

Registered Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/26/1997

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

WARTHER PRIVATE WEALTH

CRD#: 125145 / SEC#: 801-126233

RIA

Registered Investment Advisory firm - (7/28/2022 Approved)

Florida

Registered Investment Advisory firm - (9/2/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (9/7/2022 Terminated)

Ohio

Registered Investment Advisory firm - (9/6/2022 Terminated)

Pennsylvania

Registered Investment Advisory firm - (5/19/2010 Terminated)

Texas

Registered Investment Advisory firm - (9/2/2022 Terminated)

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Contact information

Main Address

1075 West Market St., Akron, OH 44313

Mailing Address

Phone number

(330) 867-6999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WARTHER PRIVATE WEALTH, LLC ADV BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	617
AUM (Assets Under Management)	$ 371,319,984

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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Advisor Monitoring

Firm Stability Insights

Robert W. Warther

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Wayne Warther's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENCE CAPITAL CO., INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WARTHER COMPANIES

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

SECURITIES AMERICA, INC.

MARINER FINANCIAL SERVICES, INC.

CONSECO FINANCIAL SERVICES, INC.

1717 CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

WARTHER PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 1/10/1998

Series 63

Date: 8/18/1995

SIE

Date: 10/1/2018

Series 7

Date: 2/12/1999

Series 6

Date: 2/22/1984

Series 1

Date: 10/11/1975

Series 26

Date: 11/26/1997

FINRA

Current Firm

WARTHER PRIVATE WEALTH

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WARTHER PRIVATE WEALTH

TRUST BUT VERIFY

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