Tim Waterworth

KESTRA ADVISORY SERVICES

Grapevine, TX 76051

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CRD#: 2088189

Professional summary

Tim Waterworth, CFP®, who also goes by Tim James Waterworth, Timothy James Waterworth, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Grapevine, Texas and KESTRA INVESTMENT SERVICES, LLC located in Grapevine, Texas.

Tim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Tim has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tim James Waterworth | Timothy James Waterworth

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.

Business Name: Waterworth Wealth Advisors, LLC Investment Related: Yes Address: 1225 South Main Street, Suite 103 Grapevine TX 76051 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Owner, founder, president. Start Date: 9/1/2008 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: General management and lead client advisor. Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tim Waterworth's CRS (Customer Relationship Summary).

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: 1990

Experience

Current

April 21, 2016 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 1225 South Main Street Suite 103, Grapevine, TX 76051

RIA

CRD#: 283330

Grapevine, TX

Current

August 25, 2008 - Present

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Grapevine, TX

Past

August 25, 2008 - May 18, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

Plano, TX

Past

June 7, 2006 - June 25, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

June 23, 2004 - February 9, 2005

MMC SECURITIES LLC

CRD#: 103846

NEW YORK, NY

Past

June 12, 2002 - October 18, 2002

SCORE SECURITIES, INC.

CRD#: 41370

FT. WORTH, TX

Past

April 19, 2000 - January 3, 2002

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

May 13, 1991 - January 25, 2000

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

November 8, 1990 - April 11, 1991

SIGNAL SECURITIES, INC.

CRD#: 15916

FORT WORTH, TX

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".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(3/11/2011)

Florida
(8/8/2016)

Indiana
(11/5/2024)

Nebraska
(5/19/2022)

Texas
(8/25/2008)

IAR

Texas
(4/21/2016)

Washington
(7/17/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/30/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/7/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/19/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 12/6/1993

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

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

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Firm Stability Insights

Tim Waterworth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tim Waterworth's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

FIDELITY BROKERAGE SERVICES LLC

MMC SECURITIES LLC

SCORE SECURITIES, INC.

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

FIDELITY BROKERAGE SERVICES LLC

SIGNAL SECURITIES, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/30/1990

SIE

Date: 10/1/2018

Series 7

Date: 11/7/1990

Series 24

Date: 3/19/2001

Series 8

Date: 12/6/1993

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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