JW
James A. Waters
CSENGE ADVISORY GROUP
Clearwater, FL 33764
Some features on this profile are disabled
CRD#: 2384370
JW
Professional summary
James Alexander Waters JR, who also goes by James A Waters Jr, James Alexander Waters, Jimmy Waters, Jimmy A Waters, is a registered financial advisor currently at CSENGE ADVISORY GROUP, LLC located in Clearwater, Florida and INTEGRITY ALLIANCE, LLC. located in Birmingham, Alabama.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. James has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James A Waters Jr | James Alexander Waters | Jimmy Waters | Jimmy A 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.
1: WEALTH STRATEGIES LLC POSITION: 1099 Contractor NATURE: Investment advisory, financial planning, fee based and commissioned asset management, life insurance, long term care insurance and annuity business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 10/27/2017 ADDRESS: 2100 Riverchase Center, Suite 408, Birmingham AL 35244, United States DESCRIPTION: I service my clients by completing comprehensive financial planning and then a risk assessment using riskalyze to line up goals, time horizons, and risk tolerance to build tailored portfolios to help my clients achieve the financial goals important to them and their families. I also work with them on strategies to reduce their tax liability, provide estate planning ideas college education goals, as well as long term care and other insurance planning strategies. I manage the portfolios to maintain a risk balance that they are comfortable with as well. In addition to this I work with them to continue to educate them on financial issues facing them in the present as well as the future. 2: ASSOCIATION OF FINANCIAL EDUCATORS POSITION: Affiliate NATURE: Association of Financial Educators is a 501(c)(3) nonprofit organization in partnership with the federal government and gets their funding from the Consumer Financial Protection Bureau to educate as many consumers as possible about basic financial matters. AFE reaches out to local businesses, municipalities or nonprofit organizations to see if they would be interested in offering their employees or local community patrons classes on basic financial matters for educational purposes only. I pay a monthly fee to be a member of this organization to go out into the Jefferson, Shelby and Lee county communities and provide 30-45 minute educational presentations on a variety of financial topics that have already been finra approved at no cost to anyone involved so we can increase the general financial knowledge base of people in these communities. In addition to this I will receive no compensation nor will I solicit attendees or promote or solicit any financial products, this is for general financial education purposes only. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 09/27/2023 ADDRESS: 108 Wild Basin Rd. S, Suite 250, Austin TX 78746, United States DESCRIPTION: To provide general education seminars at no cost to the employees of local companies, municipalities and nonprofit organizations in the counties of Jefferson, Shelby, and Lee of the state of Alabama. The education programs last 30-45 minutes and we provide the slides before the presentations via email to the facility to hand out to the attendees so they can take notes and use as a reference to the material presented. I am not allowed to solicit anyone at the presentation nor am I allowed to recommend any products in these presentations. These are for general financial education purposes only. 3: AMERITAS POSITION: Consultant NATURE: Completed a producer authorization form to sell disability insurance and am being compensated directly from Ameritas. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/13/2024 ADDRESS: 5900 O Street, Lincoln NE 68510, United States DESCRIPTION: Sell disability insurance. 4: CSENGE ADVISORY GROUP POSITION: 1099 Contract employee NATURE: Investment advisory financial planning and fee based asset management business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 04/30/2020 ADDRESS: 4755 Bay Dr, Clearwater FL 33764, United States DESCRIPTION: Investment advisory, financial planning and fee based asset management.
CRS (Client Relationship Summary) - RIA
Click below to view James Alexander Waters JR'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
May 1, 2020 - Present
CSENGE ADVISORY GROUP, LLC
Office #1: 4755 East Bay Drive, Clearwater, FL 33764RIA
CRD#: 131167
Clearwater, FL
Current
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 2100 Riverchase Center Ste 408, Birmingham, AL 35244RIA
BD
CRD#: 139627
BIRMINGHAM, AL
Past
April 30, 2020 - November 3, 2025
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
BIRMINGHAM, AL
Past
October 27, 2017 - April 30, 2020
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
BIRMINGHAM, AL
Past
October 27, 2017 - April 30, 2020
FSC SECURITIES CORPORATION
BD
CRD#: 7461
BIRMINGHAM, AL
Past
January 8, 2010 - November 13, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
BIRMINGHAM, AL
Past
January 8, 2010 - November 13, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
BIRMINGHAM, AL
Past
July 1, 2003 - January 11, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BIRMINGHAM, AL
Past
July 1, 2003 - January 11, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BIRMINGHAM, AL
Past
June 27, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
BIRMINGHAM, AL
Past
May 25, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
April 28, 1994 - May 31, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
CA
CSENGE ADVISORY GROUP, LLC
ACUMEN3 | WEBB FINANCIAL CONSULTANTS | WEALTH TRANSFER CONSULTANTS | WEALTH STRATEGIES | WAYFINDER WEALTH | WAKEFIELD VENTURE GROUP | VERITY FINANCIAL | SAPERS & WALLACK | RADIAN PARTNERS | POLARIS WEALTH MANAGEMENT | POLARIS ADVICE | PENNJERDEL INSURANCE CONSULTANTS, INC. | PARK SQUARE FINANCIAL GROUP, LLC | PARESHAH PARTNERS LLC | PARAGON PARTNERS, LLC | PARAGON PARTNERS | NAVITAS WEALTH ADVISORS | MORRISON WEALTH ADVISORS | MAIN LINE FINANCIAL ADVISORS | JK JONES FINANCIAL | J. ROBERTS CAPITAL, INC. | INVESTMENT PLANNING & MANAGEMENT | IMPACT WEALTH ADVISORS | HOSTETLER FINANCIAL, LLC | HIGHRIDGE ADVISORY | HESS-SEGAL | FINANCIAL SUCCESS STRATEGIES, LLC | FIDELIS FINANCIAL STRATEGIES | ELEY-GRAHAM-AUSTGEN | DRAPER FINANCIAL GROUP | DESTINY FINANCIAL GROUP | DECIMA WEALTH CONSULTING | DALAL CAPITAL | CSENGE ADVISORY GROUP, LLC | CORLEY & KENT, LLC | CONNECT ADVISORY GROUP | COMPASS ADVISORY PARTNERS LLC | COLTER-DENNIS | CINDER WEALTH ADVISORS | CASSIDY & COMPANY | CANNON, CLARK HOLMAN & ASSOCIATES | ATHENIAN PRIVATE CLIENT GROUP
CRD#: 131167 / SEC#: 801-72792
RIA
Registered Investment Advisory firm - (10/13/2011 Approved)Florida
Registered Investment Advisory firm - (11/8/2011 Terminated)Texas
Registered Investment Advisory firm - (11/15/2007 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.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
IAR
Alabama(5/1/2020)
RR
Alabama(11/3/2025)
RR
Arkansas(11/3/2025)
RR
Florida(11/5/2025)
RR
Georgia(11/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CSENGE ADVISORY GROUP, LLC
ACUMEN3 | WEBB FINANCIAL CONSULTANTS | WEALTH TRANSFER CONSULTANTS | WEALTH STRATEGIES | WAYFINDER WEALTH | WAKEFIELD VENTURE GROUP | VERITY FINANCIAL | SAPERS & WALLACK | RADIAN PARTNERS | POLARIS WEALTH MANAGEMENT | POLARIS ADVICE | PENNJERDEL INSURANCE CONSULTANTS, INC. | PARK SQUARE FINANCIAL GROUP, LLC | PARESHAH PARTNERS LLC | PARAGON PARTNERS, LLC | PARAGON PARTNERS | NAVITAS WEALTH ADVISORS | MORRISON WEALTH ADVISORS | MAIN LINE FINANCIAL ADVISORS | JK JONES FINANCIAL | J. ROBERTS CAPITAL, INC. | INVESTMENT PLANNING & MANAGEMENT | IMPACT WEALTH ADVISORS | HOSTETLER FINANCIAL, LLC | HIGHRIDGE ADVISORY | HESS-SEGAL | FINANCIAL SUCCESS STRATEGIES, LLC | FIDELIS FINANCIAL STRATEGIES | ELEY-GRAHAM-AUSTGEN | DRAPER FINANCIAL GROUP | DESTINY FINANCIAL GROUP | DECIMA WEALTH CONSULTING | DALAL CAPITAL | CSENGE ADVISORY GROUP, LLC | CORLEY & KENT, LLC | CONNECT ADVISORY GROUP | COMPASS ADVISORY PARTNERS LLC | COLTER-DENNIS | CINDER WEALTH ADVISORS | CASSIDY & COMPANY | CANNON, CLARK HOLMAN & ASSOCIATES | ATHENIAN PRIVATE CLIENT GROUP
CRD#: 131167 / SEC#: 801-72792
RIA
Registered Investment Advisory firm - (10/13/2011 Approved)Florida
Registered Investment Advisory firm - (11/8/2011 Terminated)Texas
Registered Investment Advisory firm - (11/15/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4755 East Bay Drive, Clearwater, FL 33764
Mailing Address
Phone number
(727) 437-6000
Established
Firm type
Fiscal year end
# of Employees
79
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,643 |
| AUM (Assets Under Management) | $ 2,882,684,461 |
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.
