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PW

Patrick J. Waters

LINCOLN FINANCIAL DISTRIBUTORS
Fort Wayne, IN 46802
Some features on this profile are disabled
CRD#: 4221221
PW

Professional summary

Patrick Jerome Waters, who also goes by Pat Waters, Patrick Jerome Waters, is a registered financial professional currently at LINCOLN FINANCIAL DISTRIBUTORS, INC. located in Fort Wayne, Indiana.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 2000. Patrick has worked at 10 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 6 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pat Waters | Patrick Jerome 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) - BD

Click below to view Patrick Jerome 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®
None

Experience

Current

November 13, 2025 - Present

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Office #1: 1301 S. Harrison, Fort Wayne, IN 46802
BD
CRD#: 145
Fort Wayne, IN
Past

April 15, 2025 - November 18, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

January 24, 2024 - October 20, 2025

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
HOUSTON, TX
Past

June 8, 2020 - August 28, 2023

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
Boston, MA
Past

August 23, 2010 - April 30, 2019

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
Boston, MA
Past

September 29, 2006 - December 5, 2008

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
PLAINSBORO, NJ
Past

September 29, 2006 - December 4, 2008

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEW YORK, NY
Past

March 1, 2006 - September 29, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA
CRD#: 105068
PLAINSBORO, NJ
Past

October 18, 2005 - September 29, 2006

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY
Past

August 18, 2000 - May 12, 2005

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD
CRD#: 8348
BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(11/13/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/30/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/20/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 4/15/2025
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/31/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/15/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/17/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 2/25/2021
NFA Branch Manager Examination
SRO Registrations
RR
FINRA

Current Firm

LINCOLN FINANCIAL DISTRIBUTORS, INC.
LINCOLN FINANCIAL DISTRIBUTORS, INC.
CG EQUITY SALES COMPANY | SAGEMARK CONSULTING, INC. | LINCOLN FINANCIAL DISTRIBUTORS, INC. | CIGNA SECURITIES, INC. | CIGNA FINANCIAL ADVISORS,INC.

CRD#: 145 / SEC#: , 8-13431

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
130 N Radnor-chester Rd, Radnor, PA 19087
Mailing Address
130 N Radnor-chester Rd, Radnor, PA 19087
Phone number
(484) 583-6000
Established
Connecticut since 08/03/1967
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THE LINCOLN NATIONAL LIFE INSURANCE COMPANYSHAREHOLDER
CHRYSSIKOS, PAUL TELEMACSENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER7263748
FALLER, DANIEL TSENIOR VICE PRESIDENT, HEAD OF LFD FINANCE6006570
GIBSON, JASON MICHAELVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, DISTRIBUTION3081880
KENNEDY, JOHN CHRISTOPHERPRESIDENT AND CHIEF EXECUTIVE OFFICER2213083
NEPA, JARED M.SVP, HEAD OF LIFE & MONEYGUARD DISTRIBUTION5157819
OMORUYI, MEGAN VOGTAVP, FINANCIAL AND OPERATIONS PRINCIPAL7803022
SEIFERT, TIMOTHY JOHNSENIOR VICE PRESIDENT, HEAD OF RS DISTRIBUTION1577571

Disclosures

Regulatory Event3

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

LINCOLN FINANCIAL DISTRIBUTORS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145Fort Wayne, IN 46802

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