Drew Waterbury

OCEAN ADVISORS

CHARLOTTE, NC 28209

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CRD#: 1402963

Professional summary

Drew Waterbury, CFP® is a registered financial advisor currently at OCEAN ADVISORS, LLC located in Charlotte, North Carolina.

Drew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Drew has worked at 4 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 4 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Drew Waterbury's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1998

Experience

Current

April 15, 2014 - Present

OCEAN ADVISORS, LLC

Office #1: 3411 Mar Vista Circle, Charlotte, NC 28209

RIA

CRD#: 133124

CHARLOTTE, NC

Past

April 25, 2008 - August 13, 2010

EQUITAS AMERICA, LLC

RIA

CRD#: 39806

FARMINGTON HILLS, MI

Past

December 31, 2001 - December 7, 2004

SCOTT & STRINGFELLOW, LLC

RIA

CRD#: 6255

CHARLOTTE, NC

Past

January 12, 2001 - December 7, 2004

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

RICHMOND, VA

Past

October 21, 1985 - February 21, 2001

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(5/13/2014)

IAR

North Carolina
(4/15/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/9/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/17/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 2/4/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/17/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/14/1990

Registered Options Principal Examination

Principal/Supervisory Exam

Series 8

Date: 8/1/1988

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

OCEAN ADVISORS, LLC

OCEAN ADVISORS | OCEAN ADVISORS, LLC

CRD#: 133124 / SEC#:

Florida

Registered Investment Advisory firm - (5/13/2014 Approved)

North Carolina

Registered Investment Advisory firm - (6/18/2010 Approved)

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Contact information

Main Address

3411 Mar Vista Circle, Charlotte, NC 28209

Mailing Address

Phone number

(704) 523-6914

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	97
AUM (Assets Under Management)	$ 54,787,205

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Drew Waterbury

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Drew Waterbury's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUITAS AMERICA, LLC

SCOTT & STRINGFELLOW, LLC

SCOTT & STRINGFELLOW, LLC

QUICK & REILLY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/1999

Series 63

Date: 3/17/1988

Series 31

Date: 2/4/2002

Series 7

Date: 8/17/1985

Series 4

Date: 2/14/1990

Series 8

Date: 8/1/1988

Current Firm

OCEAN ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OCEAN ADVISORS, LLC

TRUST BUT VERIFY

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