WW
William G. Waters
PANTHEON SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6581955
WW
Professional summary
William Gary Waters is a registered financial professional currently at PANTHEON SECURITIES, LLC located in Chicago, Illinois.
William is registered as a RR (Registered Representative) and started their career in finance in 2016. William has worked at 2 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view William Gary 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®
NoneExperience
Current
September 30, 2021 - Present
PANTHEON SECURITIES, LLC
Office #1: One North Wacker Drive Suite 1905, Chicago, IL 60606BD
CRD#: 285480
Chicago, IL
Past
February 26, 2016 - September 15, 2021
NEUBERGER BERMAN BD LLC
RIA
CRD#: 2908
CHICAGO, IL
Past
January 25, 2016 - September 15, 2021
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(9/30/2021)
RR
Alaska(9/30/2021)
RR
Arizona(9/30/2021)
RR
Arkansas(9/30/2021)
RR
California(9/30/2021)
RR
Colorado(9/30/2021)
RR
Connecticut(9/30/2021)
RR
Delaware(9/30/2021)
RR
District of Columbia(9/30/2021)
RR
Florida(9/30/2021)
RR
Georgia(9/30/2021)
RR
Hawaii(9/30/2021)
RR
Idaho(9/30/2021)
RR
Illinois(9/30/2021)
RR
Indiana(9/30/2021)
RR
Iowa(9/30/2021)
RR
Kansas(9/30/2021)
RR
Kentucky(9/30/2021)
RR
Louisiana(9/30/2021)
RR
Maine(9/30/2021)
RR
Maryland(9/30/2021)
RR
Massachusetts(9/30/2021)
RR
Michigan(9/30/2021)
RR
Minnesota(9/30/2021)
RR
Mississippi(9/30/2021)
RR
Missouri(9/30/2021)
RR
Montana(9/30/2021)
RR
Nebraska(9/30/2021)
RR
Nevada(9/30/2021)
RR
New Hampshire(9/30/2021)
RR
New Jersey(9/30/2021)
RR
New Mexico(9/30/2021)
RR
New York(9/30/2021)
RR
North Carolina(9/30/2021)
RR
North Dakota(9/30/2021)
RR
Ohio(10/4/2021)
RR
Oklahoma(9/30/2021)
RR
Oregon(9/30/2021)
RR
Pennsylvania(9/30/2021)
RR
Puerto Rico(9/30/2021)
RR
Rhode Island(9/30/2021)
RR
South Carolina(9/30/2021)
RR
South Dakota(9/30/2021)
RR
Tennessee(9/30/2021)
RR
Texas(9/30/2021)
RR
Utah(9/30/2021)
RR
Vermont(9/30/2021)
RR
Virgin Islands(9/30/2021)
RR
Virginia(9/30/2021)
RR
Washington(9/30/2021)
RR
West Virginia(9/30/2021)
RR
Wisconsin(9/30/2021)
RR
Wyoming(9/30/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PS
PANTHEON SECURITIES, LLC
PANTHEON SECURITIES, LLC
CRD#: 285480 / SEC#: , 8-69844
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
11 Times Square 35th Floor, New York, NY 10036
Mailing Address
11 Times Square, New York, NY 10036
Phone number
(212) 205-2000
Established
Delaware since 08/24/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
