Richard Henry Mootz

Investment Adviser Representative at OSAIC WEALTH, INC.

CRD #3226386Investment Adviser Rep

No disclosures on record

Sourced from SEC IAPD & FINRA BrokerCheck

States Registered

18 states

Registrations & licenses

Registration type

Investment Adviser Rep

Registered in 18 states

AlaskaArizonaCaliforniaColoradoFloridaHawaiiIdahoIndianaMontanaNevadaNorth CarolinaOhioOregonSouth CarolinaTennesseeTexasUtahWashington

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Source

OSAIC Wealth, INC. Form ADV Part 2A (Item 5), most recent annual amendment.

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Richard Henry Mootz has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.