WAYPOINTS FINANCIAL, LLC of SEBRING, FL is an SEC-registered investment adviser (CRD 157494). Regulatory assets under management: $157.7M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| John Richard Clark | MANAGING MEMBER AND CCO | Beloit, WI |
| Thomas Scott Crutchfield | MANAGING MEMBER | — |
| Victor Jason Divietro | MANAGING MEMBER | — |
| CLARK CHARLES RICHARD | MANAGING MEMBER AND CCO | — |
| CRUTCHFIELD THOMAS SCOTT | MANAGING MEMBER | — |
| DIVIETRO VICTOR JASON | MANAGING MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-07-27 | regulatory | FAILURE TO AMEND FORM ADV, INACCURATE FORM U-4, DEFICIENT INVESTMENT ADVISORY CONTRACTS, FAILURE TO MAINTAIN REQUIRED MINIMUM NET CAPITAL. | Final | $5K |