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Benjamin A. Fuller

WATERLOO CAPITAL
ROGERS, AR 72758
Some features on this profile are disabled
CRD#: 4592882
BF

Professional summary

Benjamin Ashby Fuller, who also goes by Benjamin Fuller, is a registered financial advisor currently at WATERLOO CAPITAL located in Rogers, Arkansas.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Benjamin has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Benjamin Fuller

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.
1.) FULLER FINANCIAL SERVICES/FOR ACCOUNTING PURPOSES ONLY/ SPRINGDALE, AR 2.) MEMBER, MASTERS CIRCLE LLC | 1 HOURS PER MONTH | REAL ESTATE 3.) LIGHTHOUSE INSURANCE ADVISORS INSURANCE SALES AND CONSULTING PARTNER SINCE 02/2024 4.) LIGHTHOUSE FINANCIAL ADVISORS, LLC FINANCIAL PLANNING AND INVESTMENT PARTNER SINCE 12/2023 INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Ashby Fuller'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

November 27, 2023 - Present

WATERLOO CAPITAL

Office #1: 3614 W. Southern Hills Blvd Suite 102, Rogers, AR 72758
RIA
CRD#: 133705
ROGERS, AR
Past

January 2, 2015 - November 22, 2023

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
ROGERS, AR
Past

January 2, 2015 - November 22, 2023

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
ROGERS, AR
Past

July 2, 2008 - December 26, 2014

LPL FINANCIAL LLC

RIA
CRD#: 6413
SPRINGDALE, AR
Past

July 2, 2008 - December 26, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
SPRINGDALE, AR
Past

January 14, 2003 - July 10, 2008

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
LOWELL, AR
Past

October 15, 2002 - July 10, 2008

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
LOWELL, AR

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".
WATERLOO CAPITAL
WATERLOO CAPITAL
AMG WEALTH ADVISORS | WATERLOO CAPITAL, L.P. | WATERLOO CAPITAL MANAGEMENT | WATERLOO CAPITAL | VIRTUS PRIVATE WEALTH MANAGEMENT | TEAM PRIVATE WEALTH MANAGEMENT, LLC | STRATEGIC CAPITAL | PLANNINGWORKS, INC. | MARKET STREET CAPITAL | LIGHTHOUSE FINANCIAL ADVISORS LLC | LIGHTHOUSE FINANCIAL | LIBERTY PARK | IRONCLAD STRATEGIES | HAP NIELSEN INVESTMENTS | ELEMENT RETIREMENT & INVESTMENT CONSULTANTS, LLC | EBERLY WEALTH MANAGEMENT

CRD#: 133705 / SEC#: 801-63975

RIA
Registered Investment Advisory firm - (3/11/2005 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
Arkansas
(11/27/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/7/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/14/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/8/2005
General Securities Principal Examination

Current Firm

WATERLOO CAPITAL
WATERLOO CAPITAL
AMG WEALTH ADVISORS | WATERLOO CAPITAL, L.P. | WATERLOO CAPITAL MANAGEMENT | WATERLOO CAPITAL | VIRTUS PRIVATE WEALTH MANAGEMENT | TEAM PRIVATE WEALTH MANAGEMENT, LLC | STRATEGIC CAPITAL | PLANNINGWORKS, INC. | MARKET STREET CAPITAL | LIGHTHOUSE FINANCIAL ADVISORS LLC | LIGHTHOUSE FINANCIAL | LIBERTY PARK | IRONCLAD STRATEGIES | HAP NIELSEN INVESTMENTS | ELEMENT RETIREMENT & INVESTMENT CONSULTANTS, LLC | EBERLY WEALTH MANAGEMENT

CRD#: 133705 / SEC#: 801-63975

RIA
Registered Investment Advisory firm - (3/11/2005 Approved)
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Contact information

Main Address
2801 Via Fortuna Suite 250, Austin, TX 78746
Mailing Address
Phone number
(512) 777-5900
Established
Firm type
Fiscal year end
# of Employees
54

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WATERLOO CAPITAL WRAP FEE PROGRAM BROCHURE (7/29/2025)
WATERLOO CAPITAL PART 2A (7/29/2025)

Regulatory assets under management

Total Number of Accounts6,775
AUM (Assets Under Management)$ 1,686,618,820

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.

Company Information

WATERLOO CAPITAL

WATERLOO CAPITAL

CRD#: 133705Rogers, AR 72758

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