Jeffrey R. Waters
OFC WEALTH MANAGEMENT
SHORT HILLS, NJ 07078
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CRD#: 1581068
Professional summary
Jeffrey Richard Waters, CFP® is a registered financial advisor currently at OFC WEALTH MANAGEMENT located in Short Hills, New Jersey.
Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Jeffrey has worked at 3 firms and has passed the Series 65, Series 63, Series 16, Series 3, Series 7 and Series 24 exams.
Biography
I have a B.A. in Economics from Yale University and an MBA from Stanford University. I teach the Investments section of the Certificate Program in Financial Planning at NYU. I also sit on the Board of Education of the Millburn Township Public Schools, one of the nation's top public school districts, where I am Chairman of the Finance Committee. I am married with two children.
Question & Answer
What are your service offerings?
Retirement Planning
Insurance Planning
Estate Planning
Investment Planning
Life Transitions
Tax Planning
Comprehensive Financial Planni...
Do you have an area of expertise or specialization?
College/Education Planning
Corporate Executives
High Net Worth Client Needs
Investment Advice with Ongoing...
What is your minimum asset requirement?
250K
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.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Richard Waters'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®
Start date: 2005
Experience
Current
February 16, 2005 - Present
OFC WEALTH MANAGEMENT
Office #1: 1200 Morris Tpke Suite 3005, Short Hills, NJ 07078RIA
CRD#: 133846
SHORT HILLS, NJ
Past
November 28, 1997 - July 30, 2003
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
November 18, 1986 - September 1, 1998
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OW
OFC WEALTH MANAGEMENT
OFC FINANCIAL PLANNING, LLC | OFC WEALTH MANAGEMENT, LLC | OFC WEALTH MANAGEMENT
CRD#: 133846 / SEC#: 801-130612
RIA
Registered Investment Advisory firm - (7/1/2024 Approved)California
Registered Investment Advisory firm - (8/8/2024 Terminated)Louisiana
Registered Investment Advisory firm - (7/29/2024 Terminated)New Jersey
Registered Investment Advisory firm - (7/11/2024 Terminated)New York
Registered Investment Advisory firm - (7/9/2024 Terminated)Texas
Registered Investment Advisory firm - (7/9/2024 Terminated)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
New Jersey(2/16/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
OW
OFC WEALTH MANAGEMENT
OFC FINANCIAL PLANNING, LLC | OFC WEALTH MANAGEMENT, LLC | OFC WEALTH MANAGEMENT
CRD#: 133846 / SEC#: 801-130612
RIA
Registered Investment Advisory firm - (7/1/2024 Approved)California
Registered Investment Advisory firm - (8/8/2024 Terminated)Louisiana
Registered Investment Advisory firm - (7/29/2024 Terminated)New Jersey
Registered Investment Advisory firm - (7/11/2024 Terminated)New York
Registered Investment Advisory firm - (7/9/2024 Terminated)Texas
Registered Investment Advisory firm - (7/9/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Short Hills, NJ
Mailing Address
Phone number
(973) 258-1007
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 337 |
| AUM (Assets Under Management) | $ 153,027,627 |
Red Flags
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