Thomas M. Waters

KARPUS INVESTMENT MANAGEMENT

Pittsford, NY 14534

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CRD#: 4308456

Professional summary

Thomas Matthew Waters, who also goes by Thomas Waters, is a registered financial advisor currently at KARPUS INVESTMENT MANAGEMENT located in Pittsford, New York.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Thomas has worked at 9 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas 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.

Thomas Waters serves as the Foundation Board Chair for Community Services for Every1, a nonprofit organization located at 180 Oak St, Buffalo, NY 14203. The activity is not investment related. The position began on 01/01/2020. Thomas spends approximately 1 hour per month on activities related to the Foundation. As such, they are not conducted during Karpus Investment Management business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Matthew 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 25, 2025 - Present

KARPUS INVESTMENT MANAGEMENT

Office #1: 183 Sully's Trail, Pittsford, NY 14534

RIA

CRD#: 110275

Pittsford, NY

Past

April 17, 2019 - June 9, 2021

M&T SECURITIES, INC.

CRD#: 17358

BUFFALO, NY

Past

August 31, 2016 - March 19, 2019

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

CRD#: 13594

STAMFORD, CT

Past

January 2, 2015 - February 5, 2016

MANNING & NAPIER ADVISORS, LLC

RIA

CRD#: 105992

FAIRPORT, NY

Past

July 23, 2014 - February 5, 2016

MANNING & NAPIER INVESTOR SERVICES, INC.

CRD#: 26266

FAIRPORT, NY

Past

March 3, 2011 - July 2, 2013

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

CHICAGO, IL

Past

May 21, 2008 - February 23, 2011

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

BOSTON, MA

Past

May 2, 2003 - March 25, 2008

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

October 1, 2000 - November 1, 2002

BROWN BROTHERS HARRIMAN & CO.

CRD#: 104487

NEW YORK, NY

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".

KARPUS INVESTMENT MANAGEMENT

INVESTMENT ADVISOR | KARPUS MANAGEMENT INC | KARPUS INVESTMENT MANAGEMENT

CRD#: 110275 / SEC#: 801-29607

RIA

Registered Investment Advisory firm - (3/5/1987 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

Florida
(3/3/2025)

IAR

New York
(2/25/2025)

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: 2/25/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/22/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/1/2000

General Securities Representative Examination

Current Firm

KARPUS INVESTMENT MANAGEMENT

INVESTMENT ADVISOR | KARPUS MANAGEMENT INC | KARPUS INVESTMENT MANAGEMENT

CRD#: 110275 / SEC#: 801-29607

RIA

Registered Investment Advisory firm - (3/5/1987 Approved)

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Contact information

Main Address

183 Sully's Trail, Pittsford, NY 14534

Mailing Address

Phone number

(585) 586-4680

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KARPUS INVESTMENT MANAGEMENT (9/26/2025)

Regulatory assets under management

Total Number of Accounts	2,279
AUM (Assets Under Management)	$ 4,010,769,565

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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Firm Stability Insights

Thomas M. Waters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Matthew Waters's CRS (Customer Relationship Summary).

Certified licenses

Experience

M&T SECURITIES, INC.

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

MANNING & NAPIER ADVISORS, LLC

MANNING & NAPIER INVESTOR SERVICES, INC.

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BROWN BROTHERS HARRIMAN & CO.

Primary Firm SEC Registration

KARPUS INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 2/25/2025

Series 66

Date: 12/22/2014

SIE

Date: 10/1/2018

Series 7

Date: 10/1/2000

Current Firm

KARPUS INVESTMENT MANAGEMENT

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KARPUS INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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