JW
James P. Waters
ROCKEFELLER FINANCIAL LLC
Charlotte, NC 28209
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CRD#: 5886384
JW
Professional summary
James Patrick Waters, CFA, CPWA®, who also goes by James P Waters, James Waters, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Charlotte, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. James has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James P Waters | James Waters
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. *397682 - HighStreet Partners; Investment related Yes; Charlotte, North Carolina; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); Aug 2018; During business hours: 0; After business hours: 0; 2. *530482 - PIMCA, inc; Investment related-Yes; Charlotte, North Carolina; Other; Partner (proprietor, partner, officer, director, employee, trustee, agent); 04/2021; During business hours: 0; After business hours: 0; This is strictly a passthrough entitty 3. *536676 - PIMCA Raleigh, LLC; Investment related-Yes; Raleigh, North Carolina; Manufacturing; Partner (proprietor, partner, officer, director, employee, trustee, agent); 12/2022; During business hours: 0; After business hours: 0; Other
CRS (Client Relationship Summary) - RIA
Click below to view James Patrick Waters's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Patrick Waters's 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®
Experience
Current
February 8, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209RIA
BD
CRD#: 291361
Charlotte, NC
Current
February 8, 2024 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209RIA
BD
CRD#: 291361
Charlotte, NC
Past
April 1, 2020 - February 14, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Charlotte, NC
Past
April 1, 2020 - February 14, 2024
MORGAN STANLEY
BD
CRD#: 149777
Charlotte, NC
Past
March 1, 2019 - April 2, 2020
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
CHARLOTTE, NC
Past
March 1, 2019 - April 2, 2020
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
CHARLOTTE, NC
Past
October 9, 2018 - March 1, 2019
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
CHARLOTTE, NC
Past
October 2, 2018 - March 1, 2019
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
CHARLOTTE, NC
Past
April 18, 2018 - August 31, 2018
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
BD
CRD#: 487
CHARLOTTE, NC
Past
February 25, 2011 - January 3, 2014
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 840
BOSTON, MA
Past
February 10, 2011 - January 3, 2014
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
RIA
CRD#: 108257
BOSTON, MA
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".
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/8/2024)
RR
Alaska(11/5/2024)
RR
Arizona(2/8/2024)
RR
California(2/8/2024)
RR
Colorado(2/8/2024)
RR
Connecticut(2/8/2024)
RR
Delaware(2/8/2024)
RR
District of Columbia(2/8/2024)
RR
Florida(2/8/2024)
RR
Georgia(2/8/2024)
RR
Hawaii(2/8/2024)
RR
Idaho(2/8/2024)
RR
Illinois(2/8/2024)
RR
Indiana(2/8/2024)
RR
Kentucky(2/8/2024)
RR
Louisiana(2/8/2024)
RR
Maryland(2/8/2024)
RR
Massachusetts(2/8/2024)
RR
Michigan(2/8/2024)
RR
Mississippi(1/28/2025)
RR
Montana(2/8/2024)
RR
New Jersey(2/8/2024)
RR
New Mexico(2/8/2024)
RR
New York(2/8/2024)
RR
North Carolina(2/8/2024)
IAR
North Carolina(2/8/2024)
RR
Ohio(2/8/2024)
RR
Pennsylvania(2/8/2024)
RR
Puerto Rico(2/8/2024)
RR
South Carolina(2/8/2024)
RR
Tennessee(2/8/2024)
RR
Texas(2/8/2024)
IAR
Texas(2/8/2024)
RR
Virginia(2/8/2024)
RR
Washington(2/8/2024)
RR
West Virginia(2/8/2024)
RR
Wisconsin(2/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Mailing Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Phone number
(212) 549-5100
Established
Delaware since 10/20/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
824
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
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.
