WEALTHCARE ASSET MANAGEMENT, LLC of SPRINGFIELD, MO is an SEC-registered investment adviser (CRD 170382). Regulatory assets under management: $210.8M.
Compensation: % of AUM.
Clients served: High net worth, Charities, Other.
| Name | Role | Location |
|---|---|---|
| James Barry Watts | OWNER/CHIEF COMPLIANCE OFFICER | Springfield, MO |
| WATTS JAMES BARRY | OWNER/CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-07-20 | regulatory | DURING A TIME WHEN WEALTHCARE'S CHIEF COMPLIANCE OFFICER WAS ON VACATION, INSPECTORS FROM THE SECURITIES DIVISION ARRIVED UNANNOUNCED AND BY SURPRISE IN WEALTHCARE'S OFFICE AND REQUESTED AN EMPLOYEE ALLOW THEM TO INSPECT THE BOOKS AND RECORDS OF THE COMPANY. THE EMPLOYEE DID NOT HAVE ACCESS TO THE R… | Final | $5K |