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Robert L. Waters

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CRD#: 459812
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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.

Robert Lee Waters JR, who also goes by Bob Waters, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 3 firms and has passed the Series 7TO, SIE and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Waters

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) ROBERT WATERS 9 SOUTH 5TH STREET SUITE 101 RICHMOND, VA 23219 CATEGORY: INSURANCE INVESTMENT-RELATED: YES TITLE: AGENT DUTIES: OFFERS ACCIDENT/HEALTH INSURANCE, DISABILITY INCOME INSURANCE, TRADITIONAL LIFE INSURANCE, INDEXED ANNUITIES AND FIXED ANNUITIES. START DATE: 6/30/1968 HOURS PER MONTH: 4 HOURS PER MONTH DURING TRADING HOURS: 4.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 3, 2001 - May 26, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

September 28, 1999 - May 9, 2023

OSAIC FA, INC.

RIA
CRD#: 3978
RICHMOND, VA
Past

June 1, 1998 - May 9, 2023

OSAIC FA, INC.

BD
CRD#: 3978
RICHMOND, VA
Past

September 22, 1969 - June 1, 1998

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 9/17/1969
Registered Representative Examination

Current Firm

TL
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
LINCOLN LIFE | THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580 / SEC#: , 8-13034

BD
Terminated by SEC on 12/16/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Indiana since 06/01/1905
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LINCOLN NATIONAL CORPORATIONHOLDING COMPANY
CRAWFORD, FREDRICK JOHNCHIEF FINANCIAL OFFICER, DIRECTOR4443207
FREDERICK, CHRISTINE SPENCERVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER2641636
GLASS, DENNIS RPRESIDENT, DIRECTOR2897098
KONEN, MARK EDIRECTOR5150090
QUEK, SEE YENGDIRECTOR1938493
RYAN, KEITH JAMESVICE PRESIDENT AND DIRECTOR2709700

Disclosures

Regulatory Event14

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

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

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