Timothy O. Waters

TRIUMPH CAPITAL MANAGEMENT

Denver, CO 80202

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CRD#: 3083977

Professional summary

Timothy Owings Waters is a registered financial advisor currently at TRIUMPH CAPITAL MANAGEMENT located in Denver, Colorado.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Timothy has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

(1) Triumph Capital, LLC. Since 02/2020. 1610 Wynkoop Street, Suite 550, Denver, CO 80202. Insurance agent. Fixed and Long Term Care Insurance sales offered through the agency Triumph Capital, LLC. Educate and put in place insurance policies that coincide with client financial plans, goals, objectives, and insurance needs. Less than 5 hours per month spent on this activity. (2) Waters Financial Group, LLC. Since 09/2015. 1610 Wynkoop Street, Suite 550, Denver, CO 80202. Not investment related. Owner - LLC created for tax planning and bill paying. 0 hours spent on this activity per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Owings Waters's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 19, 2016 - Present

TRIUMPH CAPITAL MANAGEMENT

Office #1: 1610 Wynkoop Street, Suite 550, Denver, CO 80202

RIA

CRD#: 282814

Denver, CO

Past

September 20, 2019 - February 10, 2020

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Denver, CO

Past

October 30, 2015 - February 10, 2020

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

Denver, CO

Past

October 6, 2015 - February 10, 2020

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Denver, CO

Past

September 1, 2015 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

Denver, CO

Past

August 10, 2012 - November 13, 2015

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 124446

DENVER, CO

Past

August 10, 2012 - September 29, 2015

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

DENVER, CO

Past

January 2, 2009 - August 14, 2012

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

DENVER, CO

Past

August 1, 2008 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

DENVER, CO

Past

July 28, 2008 - August 14, 2012

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

DENVER, CO

Past

January 10, 2007 - August 1, 2008

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

DENVER, CO

Past

January 10, 2007 - August 1, 2008

EQUITABLE ADVISORS, LLC

CRD#: 6627

DENVER, CO

Past

August 12, 2006 - January 11, 2007

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

DENVER, CO

Past

August 12, 2006 - January 11, 2007

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

DENVER, CO

Past

April 24, 2006 - August 12, 2006

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

DENVER, CO

Past

January 13, 2006 - August 12, 2006

INVEST FINANCIAL CORPORATION

CRD#: 12984

DENVER, CO

Past

June 26, 2003 - January 13, 2006

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

January 31, 2002 - May 12, 2003

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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".

TRIUMPH CAPITAL MANAGEMENT

TRIUMPH CAPITAL | TRIUMPH CAPITAL MANAGEMENT

CRD#: 282814 / SEC#: 801-107312

RIA

Registered Investment Advisory firm - (2/18/2016 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Colorado
(2/19/2016)

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

State Security Law Exam

IAR

Series 65

Date: 4/21/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/16/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/2/2000

General Securities Representative Examination

Current Firm

TRIUMPH CAPITAL MANAGEMENT

TRIUMPH CAPITAL | TRIUMPH CAPITAL MANAGEMENT

CRD#: 282814 / SEC#: 801-107312

RIA

Registered Investment Advisory firm - (2/18/2016 Approved)

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Contact information

Main Address

1610 Wynkoop Street, Suite 550, Denver, CO 80202

Mailing Address

Phone number

(720) 399-5555

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRIUMPH CAPITAL MANAGEMENT ADV PART 2A BROCHURE (8/25/2025)

TRIUMPH CAPITAL MANAGEMENT WRAP FEE BROCHURE (8/25/2025)

Regulatory assets under management

Total Number of Accounts	3,605
AUM (Assets Under Management)	$ 529,969,949

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.

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Advisor Monitoring

Firm Stability Insights

Timothy O. Waters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Owings Waters's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

CETERA INVESTMENT ADVISERS LLC

SUMMIT BROKERAGE SERVICES, INC.

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

J.P. TURNER & COMPANY, L.L.C.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

EQUITABLE ADVISORS, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

TRIUMPH CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 4/21/2006

Series 63

Date: 3/16/2000

SIE

Date: 10/1/2018

Series 7

Date: 3/2/2000

Current Firm

TRIUMPH CAPITAL MANAGEMENT

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRIUMPH CAPITAL MANAGEMENT

TRUST BUT VERIFY

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