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Robert Wayne Warther

Independence Capital CO., INC.
44 Years of Experience
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary
Areas of Practice
Insurance Planning
Independence Capital CO., INC.
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
25 advisors
Number of Clients
295 clients
Average Client Portfolio
$339K average
Assets Under Management
$99.9M

Location

1075 West Market St., Akron, OH, 44313

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History

Regulatory History (4)
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
November 2016
Withdrawn
Customer Dispute
September 2015
Withdrawn
Employment Separation After Allegations
January 2013
Customer Dispute
June 2002
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Robert owns Warther Financial Group, where he sells life insurance and fixed annuities, dedicating a few hours per week. He also owns Warther Private Wealth, LLC, a registered investment advisor, which takes nearly full-time hours, and is a board member of World Hope Foundation, dedicating minimal time.

Employment History
Current Registrations
Independence Capital CO., INC.
January 2017 - Present · 9 yrs 1 mo
Independence Capital CO., INC.Broker
January 2017 - Present · 9 yrs 1 mo
Warther Private Wealth
February 2003 - Present · 23 yrs
Previous Registrations
Cambridge Investment Research, INC.Broker
February 2013 - December 2016 · 3 yrs 10 mos
LPL Financial LLCBroker
September 2009 - February 2013 · 3 yrs 5 mos
LPL Financial Corporation
September 2009 - December 2009 · 3 mos
Warther Companies
January 2002 - June 2003 · 1 yr 5 mos
Mutual Service Corporation
January 2000 - September 2009 · 9 yrs 8 mos
Mutual Service CorporationBroker
May 1999 - September 2009 · 10 yrs 4 mos
Securities America, INC.Broker
August 1993 - May 1999 · 5 yrs 9 mos
Mariner Financial Services, INC.Broker
July 1986 - August 1993 · 7 yrs 1 mo
Philadelphia Life Asset Planning CompanyBroker
February 1984 - July 1986 · 2 yrs 5 mos
Pml Securities CompanyBroker
October 1975 - November 1978 · 3 yrs 1 mo
State Registrations11 states
ALFLINMINJOHPASCTXWAWV
AdvisorBrokerBoth
Exams
No exam information available for this advisor.