Stephen J. Waters

Some features on this profile are disabled

CRD#: 2741430

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.

Stephen Jerry Waters, who also goes by Stephen Jerry Waters III, Stephen Jerry III Waters, Steve Waters, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1996. Stephen had worked at 9 firms and has passed the Series 6 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephen Jerry Waters Iii | Stephen Jerry Iii Waters | Steve 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.

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

November 20, 2012 - July 8, 2013

NATIONWIDE SECURITIES, LLC

CRD#: 11173

CHAPEL HILL, NC

Past

October 26, 2007 - November 17, 2010

MML INVESTORS SERVICES, LLC

CRD#: 10409

CORAL GABLES, FL

Past

October 28, 2004 - October 8, 2007

PARK AVENUE SECURITIES LLC

CRD#: 46173

CORAL GABLES, FL

Past

February 26, 2003 - June 11, 2004

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

February 26, 2003 - June 11, 2004

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

March 11, 2002 - February 24, 2003

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

October 1, 2000 - December 21, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 18, 1999 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

December 5, 1996 - June 2, 1999

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

NATIONWIDE SECURITIES, LLC

NATIONWIDE ADVISORY SERVICES, INC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, LLC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, INC. | NATIONWIDE SECURITIES, LLC | NATIONWIDE SECURITIES, INC. | NATIONWIDE ADVISORY SERVICES, INC.

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA

Registered Investment Advisory firm - SEC (7/9/2008 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 6

Date: 12/3/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NATIONWIDE SECURITIES, LLC

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA

Registered Investment Advisory firm - SEC (7/9/2008 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Nationwide Plaza Mailing Code: 01-17-402, Columbus, OH 43215

Mailing Address

One Nationwide Plaza 1-33-401, Columbus, OH 43215

Phone number

(888) 753-7364

Established

Delaware since 10/09/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NSLLC FORM ADV PART 2A BROCHURE (7/8/2025)

Direct owners and executive officers

Name	Position	CRD#
NFS DISTRIBUTORS, INC.	MANAGING MEMBER
ANIANO, JOSEPH NICHOLAS	PRESIDENT	4303290
GINNAN, STEVEN A.	BOARD MANAGER	6984613
JESTICE, KEVIN THOMAS	BOARD MANAGER	5363377
RABENSTINE, JAMES JAY	VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	2025566
ROSWELL, EWAN THEODORE	AVP, FINANCE CONTROLLERSHIP-NF AND FINOP	3056545
STEVENSON, ERIC RAY	BOARD MANAGER	5250338

Disclosures

Regulatory Event	10
Arbitration	3

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen J. Waters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

PARK AVENUE SECURITIES LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

PRINCIPAL SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

NATIONWIDE SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 6

Date: 12/3/1996

Current Firm

NATIONWIDE SECURITIES, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATIONWIDE SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors