CW
Cathy R. Waters
WAVERLY ADVISORS
CINCINNATI, OH 45242
Some features on this profile are disabled
CRD#: 3090560
CW
Professional summary
Cathy Renee Waters, who also goes by Cathy Renee Ramsey, Cathy Renee Smallwood, Cathy Renee Winsted, is a registered financial advisor currently at WAVERLY ADVISORS, LLC located in Cincinnati, Ohio.
Cathy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Cathy has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cathy Renee Ramsey | Cathy Renee Smallwood | Cathy Renee Winsted
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.
CRS (Client Relationship Summary) - RIA
Click below to view Cathy Renee Waters's 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®
NoneExperience
Current
October 22, 2024 - Present
WAVERLY ADVISORS, LLC
Office #1: 4420 Cooper Road, Cincinnati, OH 45242RIA
CRD#: 115332
CINCINNATI, OH
Past
January 3, 2020 - December 2, 2024
9258 WEALTH MANAGEMENT, LLC
RIA
CRD#: 290693
Hamilton, OH
Past
October 6, 1999 - February 5, 2020
NATIONAL RETIREMENT CONSULTANTS INC
RIA
CRD#: 106692
HAMILTON, OH
Past
July 31, 1998 - December 31, 2016
L.M. KOHN & COMPANY
BD
CRD#: 27913
HAMILTON, OH
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".
WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | PROMUS | MCSHANE PARTNERS
CRD#: 115332 / SEC#: 801-60741
RIA
Registered Investment Advisory firm - (11/30/2001 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
Ohio(10/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | PROMUS | MCSHANE PARTNERS
CRD#: 115332 / SEC#: 801-60741
RIA
Registered Investment Advisory firm - (11/30/2001 Approved)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
600 University Park Place Suite 501, Birmingham, AL 35209
Mailing Address
Phone number
(205) 871-3334
Established
Firm type
Fiscal year end
# of Employees
384
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 34,313 |
| AUM (Assets Under Management) | $ 28,263,743,199 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2025 | ||
| 02/16/2024 | ||
| 06/15/2023 |
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.
Company Information
WAVERLY ADVISORS, LLC
CRD#: 115332Cincinnati, OH 45242TRUST BUT VERIFY
Monitor Cathy Waters
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
