Thomas M. Waters
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.
Thomas Matthew Waters, who also goes by Thomas Waters, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 9 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2025 - May 18, 2026
KARPUS INVESTMENT MANAGEMENT
April 17, 2019 - June 9, 2021
M&T SECURITIES, INC.
August 31, 2016 - March 19, 2019
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
January 2, 2015 - February 5, 2016
MANNING & NAPIER ADVISORS, LLC
July 23, 2014 - February 5, 2016
MANNING & NAPIER INVESTOR SERVICES, INC.
March 3, 2011 - July 2, 2013
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
May 21, 2008 - February 23, 2011
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
May 2, 2003 - March 25, 2008
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
October 1, 2000 - November 1, 2002
BROWN BROTHERS HARRIMAN & CO.
Primary Firm SEC Registration
KARPUS INVESTMENT MANAGEMENT
CRD#: 110275 / SEC#: 801-29607
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KARPUS INVESTMENT MANAGEMENT
CRD#: 110275 / SEC#: 801-29607
Contact information
SEC notice filing (46 States and Territories)
Documents
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.
