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Richard Michael Waters

Osaic Institutions, Inc.

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About Richard Michael Waters

Richard Michael Waters is a financial advisor with over 20 years of experience in the industry. Richard is currently registered with Osaic Institutions, Inc. in Zephyrhills, FL. Richard has also held previous roles at Ameriprise Financial Services, LLC, INFINEX INVESTMENTS, INC., LPL FINANCIAL LLC, MONEY CONCEPTS CAPITAL CORP, and SUNTRUST SECURITIES, INC. Richard has a broad range of experience in the financial services industry. Richard holds both Series 63 and 66 licenses. He is also a Certified Financial Planner.

Firm Information

Richard Waters is currently registered with Osaic Institutions, Inc.. Osaic Institutions, Inc. is a Corporation headquartered in MERIDEN, CT, United States. The firm was formed on 1993-04-07 and is registered with the SEC and in 53 states. Osaic Institutions, Inc. provides financial planning, pension consulting, educational seminars, and other advisory services to a wide range of clients, including individuals, corporations, charitable organizations, and high net worth individuals. The firm manages approximately $3,626,644,800 in assets and has over 1,700 licensed agents, investment adviser representatives, and registered representatives.
Osaic Institutions, Inc.

538 PRESTON AVENUE

MERIDEN, CT 06450-4858

$3.63B

Assets Under Management

25

Total Clients

641

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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solicitation services for other advisers

Solicitation services for other advisers

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Richard Waters’s Registration & Firm History

FL

08/13/2020 - Present

Osaic Institutions, Inc. (Zephyrhills FL)

FL

10/16/2018 - 08/05/2020

AMERIPRISE FINANCIAL SERVICES, LLC (Dade City FL)

FL

02/28/2014 - 10/17/2018

INFINEX INVESTMENTS, INC. (WINTER HAVEN FL)

FL

01/30/2008 - 03/12/2014

LPL FINANCIAL LLC (DADE CITY FL)

FL

12/01/2004 - 01/29/2008

INFINEX INVESTMENTS, INC. (ZEPHYRHILLS FL)

FL

05/03/2004 - 12/01/2004

MONEY CONCEPTS CAPITAL CORP (PALM BEACH GARDENS FL)

GA

01/05/2000 - 04/30/2004

SUNTRUST SECURITIES, INC. (ATLANTA GA)

NA

11/10/1993 - 11/01/1994

LUX INVESTOR SERVICES CORPORATION

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Licenses & Designations

BOTH

Issued 10/29/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/04/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/04/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/04/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Richard Michael Waters. Review regulatory record here.
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