James J. Waters
Professional summary
James Joseph Waters, who also goes by James J Waters, Jim Waters, is a registered financial advisor currently at WATERS, JAMES J. located in 3508 Bayfair Place, Florida.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. James has worked at 7 firms and has passed the Series 65, Series 66, SIE, Series 2, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Joseph Waters's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 28, 2023 - Present
WATERS, JAMES J.
April 13, 2007 - December 31, 2017
CAPTRUST ADVISORS, LLC
June 15, 2002 - June 23, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 15, 2002 - June 23, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 30, 1999 - June 20, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
June 28, 1999 - June 15, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
July 24, 1998 - July 22, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 24, 1995 - February 3, 1997
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
December 5, 1994 - July 24, 1995
FORTH FINANCIAL SECURITIES, CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/28/2023)
Exams
Series 2
Date: 12/14/1995
Non-Member General Securities ExaminationCurrent Firm
WATERS, JAMES J.
CRD#: 322885 / SEC#:
Contact information
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.
