James J. 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.
James Joseph Waters, who also goes by Jim Waters, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 15 firms and has passed the Series 65, Series 63, Series 5, PC, Series 18, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2006 - October 20, 2015
WATERS CAPITAL CONSULTANTS, LLC
April 11, 2003 - December 31, 2009
WATERS CAPITAL ADVISERS, LLC
October 4, 2000 - February 15, 2002
FIRST ALLIED SECURITIES, INC.
January 1, 1999 - November 7, 2006
COOK STREET CONSULTING, INC.
August 12, 1993 - October 25, 2000
D.E. FREY & COMPANY, INC.
February 21, 1990 - July 13, 1993
DAIN RAUSCHER INCORPORATED
January 26, 1990 - March 1, 1990
JJC SECURITIES CO., INC.
August 25, 1988 - February 5, 1990
HANIFEN, IMHOFF SECURITIES CORP.
February 18, 1986 - March 10, 1987
STOCK FUND MANAGEMENT, INC.
April 9, 1985 - October 18, 1988
HANIFEN, IMHOFF INC.
January 28, 1980 - March 22, 1985
LEHMAN BROTHERS INC.
February 2, 1977 - June 27, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 17, 1976 - June 17, 1981
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
September 11, 1970 - November 8, 1974
SHEARSON, HAMMILL & 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 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 5/20/1980
AMEX Put and Call ExamSeries 18
Date: 1/28/1977
Securities Industry Rules and Regulations ExaminationSeries 1
Date: 12/16/1968
Registered Representative ExaminationCurrent Firm
WATERS CAPITAL CONSULTANTS, LLC
CRD#: 140308 / SEC#:
Contact information
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.
