Donald A. Waterbury
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.
Donald Allan Waterbury, CFP® was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1970. Donald had worked at 10 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2019 - February 6, 2026
IFP SECURITIES, LLC
July 14, 2017 - February 6, 2026
INDEPENDENT FINANCIAL PARTNERS
September 8, 2009 - May 23, 2019
LPL FINANCIAL LLC
October 26, 2006 - November 3, 2017
WATERBURY AND ASSOCIATES
May 21, 1991 - September 8, 2009
MUTUAL SERVICE CORPORATION
April 10, 1974 - March 14, 1991
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 6, 1974 - May 22, 1974
E. F. HUTTON & COMPANY INC
July 2, 1973 - March 22, 1974
DUPONT WALSTON, INCORPORATED
August 23, 1971 - July 2, 1973
DUPONT GLORE FORGAN INCORPORATED
November 18, 1970 - August 22, 1971
BACHE & CO INCORPORATED
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 8/28/1970
Registered Representative ExaminationCurrent Firm
IFP SECURITIES, LLC
CRD#: 297287 / SEC#: , 8-70150
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IFP GROUP, LLC | OWNER | |
| ACHESON, JEFFERY ALLEN | CHIEF BUSINESS DEVELOPMENT OFFICER | 706698 |
| GILMAN, AARON LEE | CHIEF INVESTMENT OFFICER | 5611425 |
| HAMM, WILLIAM CHRISTOPHER | PRESIDENT, CHIEF OPERATING OFFICER | 5814331 |
| HAMM, WILLIAM EUGENE JR | CHIEF EXECUTIVE OFFICER AND CHAIRPERSON OF THE BOARD OF DIRECTORS | 1227713 |
| JOHNSON, TORIAN | CHIEF COMPLIANCE OFFICER | 5363604 |
| MEJIA, OSCAR MIGUEL | FINOP | 5569235 |
Red Flags
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