Frank A. 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.
Frank Aloysious Waters, who also goes by Frank Aloysious Waters Jr., was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2001. Frank had worked at 4 firms and has passed the Series 66 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
September 16, 2009 - March 25, 2013
COMPASS ADVISORY PARTNERS LLC
August 7, 2009 - February 16, 2012
FSC SECURITIES CORPORATION
September 14, 2007 - January 12, 2010
COMPASS EFFICIENT MODEL PORTFOLIOS, LLC
July 25, 2005 - August 9, 2007
PARK AVENUE SECURITIES LLC
November 29, 2001 - July 5, 2005
FSC SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
COMPASS ADVISORY PARTNERS LLC
CRD#: 119377 / SEC#: 801-89171
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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