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Elizabeth Kate Waters

Elizabeth K. Waters

FARTHER
Athens, GA 30605
Some features on this profile are disabled
CRD#: 5503429
Elizabeth Kate Waters

Professional summary

Elizabeth Kate Waters, CFP®, who also goes by Elizabeth Kate Buice, Katie Buice, is a registered financial advisor currently at FARTHER located in Athens, Georgia.

Elizabeth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Elizabeth has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Elizabeth Kate Buice | Katie Buice

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.
Fixed insurance sales; Located at 1160 S Milledge Ave, Athens, GA 30605, as of 11/01/2011; 3% of time spent during business hours; Conducted at branch location; Investment related. Owner, Stable Waters Financial LLC. a private entity established to facilitate securities, advisory, and insurance business; Located at 1160 S Milledge Ave, Athens, GA 30605 as of 05/01/2013; 3% of time spent during business hours; Conducted at branch; Investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth Kate Waters'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®
CFP®

Certified Financial Planner

Start date: 2014

Experience

Current

October 30, 2025 - Present

FARTHER

Office #1: 1160 S. Milledge Ave. Suite 210, Athens, GA 30605
RIA
CRD#: 302050
Athens, GA
Past

August 24, 2022 - October 27, 2025

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
Athens, GA
Past

August 22, 2022 - October 27, 2025

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
Athens, GA
Past

July 9, 2012 - August 22, 2022

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA
CRD#: 15708
ATHENS, GA
Past

November 10, 2011 - August 22, 2022

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
ATHENS, GA
Past

July 17, 2008 - November 17, 2011

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
ATLANTA, GA

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".
FA
FARTHER
FARTHER | SIGNALPOINT ASSET MANAGEMENT | PLEASANT STREET WEALTH | ONESOURCE WEALTH MANAGEMENT POWERED BY FARTHER | MASSO TORRENCE WEALTH MANAGEMENT INC. | GUILD INVESTMENT MANAGEMENT | FARTHER FINANCE ADVISORS, LLC

CRD#: 302050 / SEC#: 801-116721

RIA
Registered Investment Advisory firm - (7/19/2019 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
North Carolina
(10/30/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/5/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/21/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/15/2008
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FA
FARTHER
FARTHER | SIGNALPOINT ASSET MANAGEMENT | PLEASANT STREET WEALTH | ONESOURCE WEALTH MANAGEMENT POWERED BY FARTHER | MASSO TORRENCE WEALTH MANAGEMENT INC. | GUILD INVESTMENT MANAGEMENT | FARTHER FINANCE ADVISORS, LLC

CRD#: 302050 / SEC#: 801-116721

RIA
Registered Investment Advisory firm - (7/19/2019 Approved)
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Contact information

Main Address
345 California Street Suite 600, San Francisco, CA 94104
Mailing Address
Phone number
(628) 246-8004
Established
Firm type
Fiscal year end
# of Employees
275

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

APPENDIX 1 (8/11/2025)
FORM ADV PART 2A (8/11/2025)

Regulatory assets under management

Total Number of Accounts24,245
AUM (Assets Under Management)$ 7,523,810,877

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

FARTHER

CRD#: 302050Athens, GA 30605

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