Troy 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.
Troy Justin Waters, CFP® was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 1997. Troy had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2006 - November 24, 2014
HOYLECOHEN, LLC
May 3, 2004 - June 26, 2009
NEWEDGE SECURITIES, LLC
July 22, 1997 - May 3, 2004
LONDON PACIFIC SECURITIES, 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
HOYLECOHEN, LLC
CRD#: 141125 / SEC#: 801-67037
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,427 |
| AUM (Assets Under Management) | $ 3,430,171,657 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/06/2024 | ||
| 01/29/2024 | ||
| 04/26/2023 |
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.
