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CW

Courtney D. Waters

Some features on this profile are disabled
CRD#: 2522474
CW

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.

Courtney Diane Waters was a registered financial professional .

Courtney is a previously registered financial professional and started their career in finance in 1994. Courtney had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 13, 2022 - August 30, 2023

PENSERRA SECURITIES, LLC

BD
CRD#: 145994
CHICAGO, IL
Past

January 22, 2021 - May 23, 2022

CABRERA CAPITAL MARKETS, LLC

BD
CRD#: 10081
CHICAGO, IL
Past

September 8, 2008 - November 15, 2016

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
CHICAGO, IL
Past

May 14, 2004 - May 4, 2005

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

July 30, 2003 - April 22, 2004

MELVIN SECURITIES, L.L.C.

BD
CRD#: 29767
CHICAGO, IL
Past

June 16, 1999 - May 21, 2003

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 27, 1995 - June 3, 1999

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL
Past

August 3, 1994 - November 17, 1994

DICKINSON & CO.

BD
CRD#: 689
DES MOINES, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/15/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/22/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/18/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/9/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/2/1994
General Securities Representative Examination

Current Firm

PS
PENSERRA SECURITIES, LLC
PENSERRA SECURITIES | PENSERRA SECURITIES, LLC

CRD#: 145994 / SEC#: , 8-67773

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
4 Orinda Way Suite 100-a, Orinda, CA 94563
Mailing Address
4 Orinda Way Suite 100-a, Orinda, CA 94563
Phone number
(646) 459-0581
Established
New York since 02/27/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PENSERRA FINANCIAL VENTURES LLCHOLDING COMPANY / MEMBER
CASTELLI, ANTHONY NMNCOO4409925
GEIGER, LEE WILSONFINOP1552293
JOSEPH, ELOIS L'KEKSHACCO5449352
MADRIGAL, JORGE NMNPRESIDENT & CEO / MEMBER3204950

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

PENSERRA SECURITIES, LLC

CRD#: 145994

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