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Richard Wiethorn

Osaic Institutions, INC.
25 Years of Experience
Clinton, NC
1 DisclosureBrokerSells Insurance
View SEC Summary
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Richard Wiethorn is a registered investment advisor at Osaic Institutions, INC., based in Clinton, NC, with 25 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 16,312 clients with $6.5B in assets under management.

Osaic Institutions, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
570 advisors
Number of Clients
16,312 clients
Average Client Portfolio
$398K average
Assets Under Management
$6.5B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum advisory fee is generally 2.50% and is negotiable between the advisor and client.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1008 Sunset Avenue, Clinton, NC, 28328

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2026
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Richard receives compensation from investment-related sales of insurance and annuities through FTB Advisors Insurance Services, Inc. and First Horizon Insurance Services, Inc. He also participates in a financial advisor referral program with Southern Bank, started in January 2024.

Employment History
Current Registrations
Osaic Institutions, INC.Broker
July 2022 - Present · 4 yrs 3 mos
Osaic Institutions, INC.
July 2022 - Present · 4 yrs 3 mos
Previous Registrations
First Horizon Advisors, INC
April 2020 - July 2022 · 2 yrs 3 mos
First Horizon Advisors, INC.Broker
April 2020 - July 2022 · 2 yrs 3 mos
Wells Fargo Clearing Services, LLCBroker
September 2015 - April 2020 · 4 yrs 7 mos
Wells Fargo Clearing Services, LLC
September 2015 - April 2020 · 4 yrs 7 mos
First Citizens Investor Services, INC.
June 2014 - September 2015 · 1 yr 3 mos
First Citizens Investor Services, INC.Broker
June 2014 - September 2015 · 1 yr 3 mos
Essex National Securities, LLCBroker
August 2011 - June 2014 · 2 yrs 10 mos
Essex National Securities, LLC
August 2011 - June 2014 · 2 yrs 10 mos
Cco Investment Services CORP.Broker
August 2010 - July 2011 · 11 mos
Cco Investment Services CORP.
August 2010 - July 2011 · 11 mos
LPL Financial Corporation
December 2008 - August 2010 · 1 yr 8 mos
Uvest Financial Services Group, INC.
July 2004 - July 2010 · 6 yrs
Uvest Financial Services Group, INC.Broker
July 2004 - July 2010 · 6 yrs
Uvest Financial Services And/or Compass Capital
April 2004 - July 2004 · 3 mos
Uvest Financial Services Group, INC.Broker
April 2004 - July 2004 · 3 mos
Ga Financial Strategies LLC
May 2001 - May 2004 · 3 yrs
Allegheny Investments, LTD.Broker
February 2001 - May 2004 · 3 yrs 3 mos
State Registrations2 states
NCPA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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Richard Wiethorn - Financial Advisor | TrueAdvisor