James P. Waters
Professional summary
James Patrick Waters, who also goes by Patrick Waters, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 2003. James has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Patrick Waters's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 7, 2021 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901June 5, 2019 - September 4, 2019
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 31, 2018 - June 5, 2019
EMPOWER FINANCIAL SERVICES, INC.
November 14, 2016 - April 13, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 2, 2016 - April 13, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 21, 2007 - January 23, 2008
TOUCHPOINT SECURITIES CORP.
April 19, 2007 - September 20, 2007
WM SMITH & CO.
April 21, 2003 - October 21, 2003
BBVA COMPASS INVESTMENT SOLUTIONS, INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/7/2021)
(1/7/2021)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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