Sean J. Waters

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CRD#: 4414180

Professional summary

Sean J. Waters was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Sean is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Sean had worked at 8 firms, which includes NFSG CORPORATION, NEWBRIDGE SECURITIES CORPORATION, FINANCIAL WEST GROUP, ARQUE CAPITAL LTD., HILLTOP SECURITIES INC., M.L. STERN & CO. LLC., UBS FINANCIAL SERVICES INC., MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Sean J. 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 10, 2017 - February 2, 2018

NFSG CORPORATION

RIA

CRD#: 130814

HEMET, CA

Past

April 21, 2017 - February 2, 2018

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOCA RATON, FL

Past

July 23, 2012 - April 21, 2017

FINANCIAL WEST GROUP

RIA

CRD#: 16668

LOS ANGELES, CA

Past

December 16, 2010 - April 21, 2017

FINANCIAL WEST GROUP

CRD#: 16668

LOS ANGELES, CA

Past

July 14, 2010 - December 22, 2010

ARQUE CAPITAL, LTD.

CRD#: 121192

SCOTTSDALE, AZ

Past

July 13, 2010 - November 15, 2010

ARQUE CAPITAL, LTD.

RIA

CRD#: 121192

EL SEGUNDO, CA

Past

December 10, 2008 - April 22, 2010

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

BEVERLY HILLS, CA

Past

December 10, 2008 - April 22, 2010

HILLTOP SECURITIES INC.

CRD#: 6220

BEVERLY HILLS, CA

Past

August 9, 2006 - December 31, 2008

M.L. STERN & CO., LLC.

RIA

CRD#: 8327

BEVERLY HILLS, CA

Past

August 9, 2006 - December 31, 2008

M.L. STERN & CO., LLC.

CRD#: 8327

BEVERLY HILLS, CA

Past

August 9, 2002 - August 1, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BEVERLY HILLS, CA

Past

August 9, 2002 - August 1, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BEVERLY HILLS, CA

Past

January 16, 2002 - August 13, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SHERMAN OAKS, CA

Past

August 20, 2001 - August 13, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

NFSG CORPORATION

NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.

CRD#: 130814 / SEC#: 801-68448

RIA

Registered Investment Advisory firm - (11/6/2007 Approved)

Arizona

Registered Investment Advisory firm - (11/8/2007 Terminated)

California

Registered Investment Advisory firm - (11/8/2007 Terminated)

Connecticut

Registered Investment Advisory firm - (11/8/2007 Terminated)

Florida

Registered Investment Advisory firm - (12/12/2007 Terminated)

Illinois

Registered Investment Advisory firm - (11/6/2007 Terminated)

Indiana

Registered Investment Advisory firm - (11/8/2007 Terminated)

Nevada

Registered Investment Advisory firm - (12/17/2007 Terminated)

New Jersey

Registered Investment Advisory firm - (11/14/2007 Terminated)

North Carolina

Registered Investment Advisory firm - (11/8/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/13/2007 Terminated)

Tennessee

Registered Investment Advisory firm - (12/8/2007 Terminated)

Texas

Registered Investment Advisory firm - (11/8/2007 Terminated)

Virginia

Registered Investment Advisory firm - (11/8/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 11/16/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/2001

General Securities Representative Examination

Current Firm

NFSG CORPORATION

NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.

CRD#: 130814 / SEC#: 801-68448

RIA

Registered Investment Advisory firm - (11/6/2007 Approved)

Arizona

Registered Investment Advisory firm - (11/8/2007 Terminated)

California

Registered Investment Advisory firm - (11/8/2007 Terminated)

Connecticut

Registered Investment Advisory firm - (11/8/2007 Terminated)

Florida

Registered Investment Advisory firm - (12/12/2007 Terminated)

Illinois

Registered Investment Advisory firm - (11/6/2007 Terminated)

Indiana

Registered Investment Advisory firm - (11/8/2007 Terminated)

Nevada

Registered Investment Advisory firm - (12/17/2007 Terminated)

New Jersey

Registered Investment Advisory firm - (11/14/2007 Terminated)

North Carolina

Registered Investment Advisory firm - (11/8/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/13/2007 Terminated)

Tennessee

Registered Investment Advisory firm - (12/8/2007 Terminated)

Texas

Registered Investment Advisory firm - (11/8/2007 Terminated)

Virginia

Registered Investment Advisory firm - (11/8/2007 Terminated)

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Contact information

Main Address

1200 North Federal Highway Suite 400, Boca Raton, FL 33432

Mailing Address

Phone number

(954) 334-3450

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (4/30/2025)

NFSG WRAP FEE PROGRAM BROCHURE (4/30/2025)

Regulatory assets under management

Total Number of Accounts	3,587
AUM (Assets Under Management)	$ 813,494,847

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

Sean J. Waters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEWBRIDGE SECURITIES CORPORATION

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

ARQUE CAPITAL, LTD.

ARQUE CAPITAL, LTD.

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

M.L. STERN & CO., LLC.

M.L. STERN & CO., LLC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

NFSG CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 11/16/2001

SIE

Date: 2/2/2018

Series 7

Date: 8/17/2001

Current Firm

NFSG CORPORATION

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NFSG CORPORATION

TRUST BUT VERIFY

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