Janet L. Waters
Professional summary
Janet Lee Waters was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Janet is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, Janet had worked at 1 firm, which includes A.L. WATERS CAPITAL LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2005 - March 9, 2012
A.L. WATERS CAPITAL, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
A.L. WATERS CAPITAL, LLC
CRD#: 135419 / SEC#: , 8-66917
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WATERS, ARNETT LANSE | PRESIDENT/CEO/MEMBER | |
| WATERS JANET LEE | CCO/MEMBER | |
| GEORGE, KENNETH RONALD | FINOP | 2643369 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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