Richard Alan Harter

Current Employers

Employment History

• 05/2005 → 09/2016
  Wall Street Financial Group, Inc.
  Fairport, NY
• 09/2016 → 06/2024
  Securities America, Inc.
  Rochester, NY
• 09/2016 → 06/2024
  Securities America Advisors, Inc.
  La Vista, NE
• 06/2024 → Present
  Osaic Wealth, Inc.
  Rochester, NY

Previous Registrations

• 2016-09-23 → 2024-06-14
  Securities America Advisors, Inc.
  La Vista, NE
  Rochester, NY
• 2005-05-05 → 2016-09-23
  Wall Street Financial Group, Inc.
  Rochester, NY
  Rochester, NY
  Rochester, NY
  Rochester, NY
  Rochester, NY
  Victor, NY

Other Businesses

1. INSURANCE SALES & SERVICE -NATURE: LIFE & LONG-TERM CARE INSURANCE SALES - INVESTMENT RELATED: Yes - NUMBER OF HOURS: 5 - SECURITIES TRADING HOURS: 2 - START DATE: 05/10/2005 - ADDRESS: 2024 W. Henrietta Rd, Suite 5E, Rochester NY 14623 2. INCOME TAX PREPARATION -NATURE: INCOME TAX PREPARATION FOR SELECT CLIENTS - INVESTMENT RELATED: No - NUMBER OF HOURS: 15 - SECURITIES TRADING HOURS: 5 - START DATE: 03/01/2008 - ADDRESS: 2024 W. Henrietta Rd, Suite 5E, Rochester NY 14623 3. DBA: HARTER FINANCIAL 4. LEVERAGEYOURGIFT.COM POSITION: partner NATURE: Website for marketing of planning and insurance sales in partnership with Mark Kluge, Securities America rep INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 START DATE: 06/30/2017 ADDRESS: 2024 W. Henrietta Rd, Suite 5E, Rochester NY 14623 DESCRIPTION: DBA for purpose of joint marketing of financial planning and insurance sales 5. BLUEMARK ADVISORS POSITION: Financial advisor NATURE: Investment Advisory work through SAA INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 70 START DATE: 07/01/2018 ADDRESS: 2024 W Henrietta Rd Ste 5E, Rochester NY 14623 DESCRIPTION: Investment advisory work through SAA 6. BLAUSTEIN HARTER BCP LLC POSITION: OWNER NATURE: OWNERSHIP OF OFFICE BUILDING USED FOR MY BUSINESS AND BUSINESS OF OTHER SAI REPS INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/31/2007 ADDRESS: 2024 W. Henrietta Rd Suite 5E, Suite 5E, Rochester NY 14623 DESCRIPTION: 50% OWNERSHIP OF OFFICE BUILDING USED FOR MY BUSINESS AND BUSINESS OF OTHER SAI REPS 7. BRIGHTON CAMPUS PARK CONDOMINIUM ASSOCIATION POSITION: treasurer NATURE: Treasurer of the Board of Directors for the Brighton Campus Park Condo association. This is the association for the office park where my place of business is located. I have been an owner of my office unit since 2007. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/08/2024 ADDRESS: 2024 W. Henrietta Rd Suite 5E, Rochester NY 14623 DESCRIPTION: Treasurer. I will review receivables, payables and financial statements as prepared by our accounting firm as well as assist in budgeting. 8. BLUEMARK ADVISORS POSITION: Financial advisor NATURE: DBA for work through Osaic Wealth, Inc INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 70 START DATE: 07/01/2018 ADDRESS: 2024 W Henrietta Rd Ste 5E, Rochester NY 14623, United States DESCRIPTION: this is DBA for Securities, Investment Advisory, financial planning and Insurance business 9. RICHARD A. HARTER POSITION: Executor NATURE: individual INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 05/20/2026 ADDRESS: 2024 W. Henrietta Rd Suite 5E, Rochester NY 14623, United States DESCRIPTION: Executor for my aunt, Sandra Paul's estate

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-06-21
• S63 Uniform Securities Agent State Law Examination
  1998-07-07