DW
David I. Waters
FIDELITY DISTRIBUTORS COMPANY LLC
Smithfield, RI 02917
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CRD#: 2274604
DW
Professional summary
David I. Waters, who also goes by David Ignatius Waters, David I Waters, is a registered financial professional currently at FIDELITY DISTRIBUTORS COMPANY LLC located in Smithfield, Rhode Island.
David is registered as a RR (Registered Representative) and started their career in finance in 1996. David has worked at 6 firms and has passed the Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Ignatius Waters | David I Waters
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) - BD
Click below to view David I. 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®
NoneExperience
Current
January 29, 2025 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 17507
Smithfield, RI
Past
July 7, 2021 - January 2, 2025
FRANKLIN DISTRIBUTORS, LLC
BD
CRD#: 109064
SAN MATEO, CA
Past
July 20, 2016 - July 7, 2021
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
BD
CRD#: 13594
SAN MATEO, CA
Past
April 26, 2012 - July 7, 2021
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
BD
CRD#: 332
SAN MATEO, CA
Past
January 1, 1997 - April 17, 2012
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
CHICAGO, IL
Past
June 24, 1996 - January 1, 1997
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(10/24/2025)
RR
Alaska(10/24/2025)
RR
Arizona(10/24/2025)
RR
Arkansas(10/24/2025)
RR
California(10/24/2025)
RR
Colorado(10/24/2025)
RR
Connecticut(10/24/2025)
RR
Delaware(10/24/2025)
RR
District of Columbia(10/24/2025)
RR
Florida(10/24/2025)
RR
Georgia(10/24/2025)
RR
Hawaii(10/24/2025)
RR
Idaho(10/24/2025)
RR
Illinois(10/24/2025)
RR
Indiana(10/24/2025)
RR
Iowa(10/24/2025)
RR
Kansas(10/24/2025)
RR
Kentucky(10/24/2025)
RR
Louisiana(10/24/2025)
RR
Maine(10/24/2025)
RR
Maryland(10/24/2025)
RR
Massachusetts(10/24/2025)
RR
Michigan(10/24/2025)
RR
Minnesota(10/24/2025)
RR
Mississippi(10/24/2025)
RR
Missouri(10/24/2025)
RR
Montana(10/24/2025)
RR
Nebraska(10/24/2025)
RR
Nevada(10/24/2025)
RR
New Hampshire(10/24/2025)
RR
New Jersey(10/24/2025)
RR
New Mexico(10/24/2025)
RR
New York(10/24/2025)
RR
North Carolina(10/24/2025)
RR
North Dakota(10/24/2025)
RR
Ohio(10/24/2025)
RR
Oklahoma(10/24/2025)
RR
Oregon(10/24/2025)
RR
Pennsylvania(10/24/2025)
RR
Puerto Rico(10/24/2025)
RR
Rhode Island(10/24/2025)
RR
South Carolina(10/24/2025)
RR
South Dakota(10/24/2025)
RR
Tennessee(10/24/2025)
RR
Texas(10/24/2025)
RR
Utah(10/24/2025)
RR
Vermont(10/24/2025)
RR
Virginia(10/24/2025)
RR
Washington(10/24/2025)
RR
West Virginia(10/24/2025)
RR
Wisconsin(10/24/2025)
RR
Wyoming(10/24/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/29/2025
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FIDELITY DISTRIBUTORS COMPANY LLC
FIDELITY DISTRIBUTORS COMPANY LLC | INSTITUTIONAL COMPANY, INC. | FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. | FIDELITY INSTITUTIONAL RETIREMENT SERVICES COMPANY
CRD#: 17507 / SEC#: , 8-35097
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone Wg3d, Westlake, TX 76262
Phone number
(800) 237-8132
Established
Delaware since 01/01/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
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.
Company Information
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507Smithfield, RI 02917TRUST BUT VERIFY
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