Joshua T. Teeters

WATERLOO CAPITAL

AUSTIN, TX 78746

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CRD#: 5163536

Professional summary

Joshua Thomas Teeters, who also goes by Josh Teeters, is a registered financial advisor currently at WATERLOO CAPITAL located in Austin, Texas.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Joshua has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Josh Teeters

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) JT Teeters LLC; Non-investment-related; 725 Rawson Bend, Lakeway, TX, 78738; LLC for personal payroll and 401K activity; owner; 2014; 0 hours during trading hours; manager of LLC Activity

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Thomas Teeters's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

April 17, 2024 - Present

WATERLOO CAPITAL

Office #1: 2801 Via Fortuna Suite 250, Austin, TX 78746

RIA

CRD#: 133705

AUSTIN, TX

Past

October 30, 2023 - April 11, 2024

CROWDSTREET ADVISORS, LLC

RIA

CRD#: 299176

Lakeway, TX

Past

February 13, 2023 - April 11, 2024

CROWDSTREET CAPITAL LLC

CRD#: 312762

NEW YORK, NY

Past

May 16, 2022 - February 7, 2023

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

ST LOUIS, MO

Past

August 10, 2020 - January 3, 2022

PARSONEX CAPITAL MARKETS, LLC

CRD#: 169578

ENGLEWOOD, CO

Past

July 8, 2019 - March 3, 2020

STRATCAP SECURITIES, LLC

CRD#: 151152

NEW YORK, NY

Past

March 26, 2017 - June 20, 2019

ASCENDANT ALTERNATIVE STRATEGIES, LLC

CRD#: 283881

WHITE PLAINS, NY

Past

May 30, 2013 - March 29, 2017

AXIOM CAPITAL MANAGEMENT, INC.

CRD#: 26580

NEW YORK, NY

Past

October 1, 2012 - June 5, 2013

DIVINE CAPITAL MARKETS LLC

CRD#: 118212

AUSTIN, TX

Past

August 3, 2010 - September 28, 2012

IMS SECURITIES, INC.

CRD#: 35567

AUSTIN, TX

Past

April 1, 2010 - August 5, 2010

J.P. MORGAN SECURITIES LLC

CRD#: 79

HOUSTON, TX

Past

January 8, 2008 - October 30, 2009

DIRECT CAPITAL SECURITIES, INC.

CRD#: 29639

AUSTIN, TX

Past

November 23, 2006 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

HOUSTON, TX

Past

November 23, 2006 - October 23, 2007

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WATERLOO CAPITAL

CRD#: 133705 / SEC#: 801-63975

RIA

Registered Investment Advisory firm - (3/11/2005 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(4/17/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/30/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/13/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/7/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/22/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WATERLOO CAPITAL

CRD#: 133705 / SEC#: 801-63975

RIA

Registered Investment Advisory firm - (3/11/2005 Approved)

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Contact information

Main Address

2801 Via Fortuna Suite 250, Austin, TX 78746

Mailing Address

Phone number

(512) 777-5900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WATERLOO CAPITAL WRAP FEE PROGRAM BROCHURE (7/29/2025)

WATERLOO CAPITAL PART 2A (7/29/2025)

Regulatory assets under management

Total Number of Accounts	6,775
AUM (Assets Under Management)	$ 1,686,618,820

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.

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Advisor Monitoring

Firm Stability Insights

Joshua T. Teeters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Thomas Teeters's CRS (Customer Relationship Summary).

Certified licenses

Experience

CROWDSTREET ADVISORS, LLC

CROWDSTREET CAPITAL LLC

PATRICK CAPITAL MARKETS, LLC

PARSONEX CAPITAL MARKETS, LLC

STRATCAP SECURITIES, LLC

ASCENDANT ALTERNATIVE STRATEGIES, LLC

AXIOM CAPITAL MANAGEMENT, INC.

DIVINE CAPITAL MARKETS LLC

IMS SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

DIRECT CAPITAL SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

WATERLOO CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 10/30/2023

Series 63

Date: 12/13/2006

SIE

Date: 10/1/2018

Series 7

Date: 1/7/2008

Series 6

Date: 11/22/2006

Current Firm

WATERLOO CAPITAL

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATERLOO CAPITAL

TRUST BUT VERIFY

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