Mitchell J. Waters
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mitchell Jeffery Waters JR, who also goes by Mitchell Jeffrey Waters Jr, Mitchell Jeffery Waters Jr, was a registered financial advisor .
Mitchell is a previously registered financial advisor and started their career in finance in 1993. Mitchell had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2017 - January 8, 2025
INTEGRITY CAPITAL, LLC
September 22, 2015 - October 27, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 6, 2009 - November 11, 2013
TRANSAMERICA CAPITAL, LLC
May 30, 2007 - May 12, 2009
EQUITABLE DISTRIBUTORS, LLC
May 14, 2007 - May 22, 2007
RIVERSOURCE DISTRIBUTORS, INC.
January 6, 2006 - October 25, 2006
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
January 24, 2003 - October 25, 2006
CURIAN CAPITAL, LLC
January 21, 2003 - December 31, 2005
INVESTMENT CENTERS OF AMERICA, INC.
June 5, 1997 - April 1, 2002
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
August 4, 1993 - May 7, 1997
INVESCO DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INTEGRITY CAPITAL, LLC
CRD#: 285198 / SEC#: , 8-69829
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
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.
