Wilson D. Waters
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.
Wilson Dean Waters, who also goes by Dean Waters, was a registered financial professional .
Wilson is a previously registered financial professional and started their career in finance in 2008. Wilson had worked at 6 firms and has passed the Series 63, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2015 - May 18, 2017
NEXTGEN CAPITAL MARKETS, LLC
August 4, 2014 - July 20, 2015
SYNOVUS SECURITIES, INC.
January 12, 2012 - January 2, 2013
GROWTH CAPITAL SERVICES, INC.
February 8, 2010 - January 9, 2012
MIDSOUTH CAPITAL, INC.
November 2, 2009 - February 18, 2010
FIRST LEGACY SECURITIES, LLC
October 14, 2008 - October 30, 2009
COMMERCE STREET CAPITAL, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 62
Date: 10/13/2008
Corporate Securities Limited Representative ExaminationCurrent Firm
NEXTGEN CAPITAL MARKETS, LLC
CRD#: 170421 / SEC#: , 8-69418
Contact information
FINRA licenses (7 States and Territories)
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.
