Robert Wayne Warther
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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bob Warther
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
51 years in the financial services industry
Current & Past Employments
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Current Firm
WARTHER COMPANIES, LLC | WARTHER PRIVATE WEALTH, LLC | WARTHER PRIVATE WEALTH | WARTHER FINANCIAL GROUP | WARTHER CONSULTING, LLC | WARTHER CONSULTING
Contact Information
Main Address
1075 West Market St., Akron, OH 44313Phone Number
(330) 867-6999# of Employees
9SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
617AUM (Assets Under Management)
$371,319,984Similar Advisors
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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.
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Primary Firm SEC Registration
WARTHER COMPANIES, LLC | WARTHER PRIVATE WEALTH, LLC | WARTHER PRIVATE WEALTH | WARTHER FINANCIAL GROUP | WARTHER CONSULTING, LLC | WARTHER CONSULTING
State Registrations and Notice Filings
(2/8/2017)
(4/19/2017)
(7/27/2018)
(6/30/2021)
(1/31/2017)
(5/10/2017)
(2/18/2003)
(1/9/2017)
(1/13/2017)
(10/16/2025)
(9/1/2021)
(5/23/2017)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1984About the Series 6 examSeries 1 — Registered Representative Examination
Passed Oct 1975Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Nov 1997About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Robert Wayne Warther's CRS (Customer Relationship Summary).
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