AW
Alisha Waters
ALIGHT FINANCIAL ADVISORS
CHARLOTTE, NC 28269
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CRD#: 6746267
AW
Professional summary
Alisha Waters is a registered financial advisor currently at ALIGHT FINANCIAL ADVISORS, LLC located in Charlotte, North Carolina and ALIGHT FINANCIAL SOLUTIONS, LLC located in Charlotte, North Carolina.
Alisha is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Alisha has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) - RIA
Click below to view Alisha 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
October 11, 2019 - Present
ALIGHT FINANCIAL ADVISORS, LLC
Office #1: 9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269RIA
CRD#: 158744
CHARLOTTE, NC
Current
October 4, 2019 - Present
ALIGHT FINANCIAL SOLUTIONS, LLC
Office #1: 9335 Harris Corners Parkway Ste 150, Charlotte, NC 28269BD
CRD#: 36509
CHARLOTTE, NC
Past
August 14, 2018 - September 25, 2019
T. ROWE PRICE ADVISORY SERVICES, INC.
RIA
CRD#: 108958
Owings Mills, MD
Past
May 3, 2017 - September 25, 2019
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
OWINGS MILLS, MD
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".
AF
ALIGHT FINANCIAL ADVISORS, LLC
ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC
CRD#: 158744 / SEC#: 801-72679
RIA
Registered Investment Advisory firm - (9/13/2011 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.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(10/4/2019)
RR
Alaska(10/4/2019)
RR
Arizona(10/4/2019)
RR
Arkansas(10/4/2019)
RR
California(10/4/2019)
RR
Colorado(10/4/2019)
RR
Connecticut(10/4/2019)
RR
Delaware(10/4/2019)
RR
District of Columbia(10/4/2019)
RR
Florida(10/4/2019)
RR
Georgia(10/4/2019)
RR
Hawaii(10/4/2019)
RR
Idaho(10/4/2019)
RR
Illinois(10/4/2019)
RR
Indiana(10/4/2019)
RR
Iowa(10/4/2019)
RR
Kansas(10/4/2019)
RR
Kentucky(10/4/2019)
RR
Louisiana(10/4/2019)
RR
Maine(10/4/2019)
RR
Maryland(10/4/2019)
RR
Massachusetts(10/4/2019)
RR
Michigan(10/4/2019)
RR
Minnesota(10/4/2019)
RR
Mississippi(10/4/2019)
RR
Missouri(10/4/2019)
RR
Montana(10/4/2019)
RR
Nebraska(10/4/2019)
RR
Nevada(10/4/2019)
RR
New Hampshire(10/4/2019)
RR
New Jersey(10/4/2019)
RR
New Mexico(10/4/2019)
RR
New York(10/4/2019)
RR
North Carolina(10/4/2019)
IAR
North Carolina(10/11/2019)
RR
North Dakota(10/4/2019)
RR
Ohio(10/4/2019)
RR
Oklahoma(10/4/2019)
RR
Oregon(10/4/2019)
RR
Pennsylvania(10/4/2019)
RR
Puerto Rico(10/4/2019)
RR
Rhode Island(10/4/2019)
RR
South Carolina(10/4/2019)
RR
South Dakota(10/4/2019)
RR
Tennessee(10/4/2019)
RR
Texas(10/4/2019)
RR
Utah(10/4/2019)
RR
Vermont(10/4/2019)
RR
Virginia(10/4/2019)
RR
Washington(10/4/2019)
RR
West Virginia(10/4/2019)
RR
Wisconsin(10/4/2019)
RR
Wyoming(10/4/2019)
Exams
State Security Law Exam
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
AF
ALIGHT FINANCIAL ADVISORS, LLC
ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC
CRD#: 158744 / SEC#: 801-72679
RIA
Registered Investment Advisory firm - (9/13/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269
Mailing Address
Phone number
(866) 560-7256
Established
Firm type
Fiscal year end
# of Employees
60
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 197,089 |
| AUM (Assets Under Management) | $ 30,882,928,556 |
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.
