Ross C. King

WATERWAY WEALTH MANAGEMENT, L.L.C.

The Woodlands, TX 77380

Some features on this profile are disabled

CRD#: 7898013

Professional summary

Ross Conner King is a registered financial advisor currently at WATERWAY WEALTH MANAGEMENT, L.L.C. located in The Woodlands, Texas.

Ross is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Ross has worked at 1 firm .

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross Conner King'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®

None

Experience

Current

April 24, 2024 - Present

WATERWAY WEALTH MANAGEMENT, L.L.C.

Office #1: 21 Waterway Suite 500, The Woodlands, TX 77380

RIA

CRD#: 164975

The Woodlands, TX

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".

WATERWAY WEALTH MANAGEMENT, L.L.C.

CRD#: 164975 / SEC#: 801-77571

RIA

Registered Investment Advisory firm - (2/4/2013 Approved)

Texas

Registered Investment Advisory firm - (2/6/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(4/24/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

WATERWAY WEALTH MANAGEMENT, L.L.C.

CRD#: 164975 / SEC#: 801-77571

RIA

Registered Investment Advisory firm - (2/4/2013 Approved)

Texas

Registered Investment Advisory firm - (2/6/2013 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

21 Waterway Suite 500, The Woodlands, TX 77380

Mailing Address

Phone number

(281) 363-0000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WATERWAY WRAP BROCHURE (2/18/2025)

WWM ADV 2A (2/18/2025)

Regulatory assets under management

Total Number of Accounts	948
AUM (Assets Under Management)	$ 552,789,475

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.

Similar Advisors

Casey Mack

THE SUM

IAR

The Woodlands, TX

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ross C. King

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross Conner King's CRS (Customer Relationship Summary).

Certified licenses

Experience

WATERWAY WEALTH MANAGEMENT, L.L.C.

Primary Firm SEC Registration

WATERWAY WEALTH MANAGEMENT, L.L.C.

State Registrations and Notice Filings

Exams

Current Firm

WATERWAY WEALTH MANAGEMENT, L.L.C.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATERWAY WEALTH MANAGEMENT, L.L.C.

TRUST BUT VERIFY

Similar Advisors