Garrett T. Waters

ANCHOR CAPITAL

Aliso Viejo, CA 92656

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CRD#: 4540929

Professional summary

Garrett Thomas Waters is a registered financial advisor currently at ANCHOR CAPITAL located in Aliso Viejo, California.

Garrett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Garrett has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Garrett Thomas 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

April 3, 2015 - Present

ANCHOR CAPITAL

Office #1: 15 Enterprise Suite 450, Aliso Viejo, CA 92656

RIA

CRD#: 123543

Aliso Viejo, CA

Past

August 13, 2014 - December 31, 2014

ANCHOR CAPITAL

RIA

CRD#: 123543

ALISO VIEJO, CA

Past

March 4, 2011 - December 31, 2013

ANCHOR CAPITAL

RIA

CRD#: 123543

ALISO VIEJO, CA

Past

November 15, 2006 - April 16, 2009

PACIFIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 129562

IRVINE, CA

Past

July 25, 2005 - July 18, 2006

HUNTER WISE SECURITIES, LLC

CRD#: 104193

IRVINE, CA

Past

August 14, 2002 - January 3, 2005

HOLLENCREST CAPITAL MANAGEMENT, LLC

CRD#: 46217

NEWPORT BEACH, CA

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".

ANCHOR CAPITAL

ANCHOR CAPITAL | ANCHOR RESEARCH, LLC | ANCHOR CAPITAL MANAGEMENT GROUP, INC.

CRD#: 123543 / SEC#: 801-61643

RIA

Registered Investment Advisory firm - (11/29/2002 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

California
(4/3/2015)

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: 11/13/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/10/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/12/2002

General Securities Representative Examination

Current Firm

ANCHOR CAPITAL

ANCHOR CAPITAL | ANCHOR RESEARCH, LLC | ANCHOR CAPITAL MANAGEMENT GROUP, INC.

CRD#: 123543 / SEC#: 801-61643

RIA

Registered Investment Advisory firm - (11/29/2002 Approved)

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Contact information

Main Address

15 Enterprise Suite 450, Aliso Viejo, CA 92656

Mailing Address

Phone number

(800) 290-8633

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCOVERY BROCHURE 2024 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	33
AUM (Assets Under Management)	$ 309,644,363

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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Garrett T. Waters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ANCHOR CAPITAL

ANCHOR CAPITAL

PACIFIC FINANCIAL ADVISORS, INC.

HUNTER WISE SECURITIES, LLC

HOLLENCREST CAPITAL MANAGEMENT, LLC

Primary Firm SEC Registration

ANCHOR CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 11/13/2006

Series 63

Date: 9/10/2002

Series 7

Date: 8/12/2002

Current Firm

ANCHOR CAPITAL

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ANCHOR CAPITAL

TRUST BUT VERIFY

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