Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew David Waters is a registered investment advisor representative with Capital Client Group, Inc. Andrew has been active in the industry since May 18, 2016. Previously, Andrew was registered with Transamerica Investors Securities Corporation, Lincoln Financial Advisors Corporation and Wells Fargo Clearing Services, LLC. Andrew has a Series 7TO, Series 63, Series 6 and SIE licenses. Andrew holds a license in California.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Recommending affiliate as investment adviser of sma assets
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
As agreed upon in a manner that covers registrant's costs
1
2
CA
09/19/2024 - Present
Capital Client Group, Inc. (Los Angeles CA)
CO
04/03/2018 - 04/26/2018
TRANSAMERICA INVESTORS SECURITIES CORPORATION (DENVER CO)
IN
03/16/2017 - 10/24/2017
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
11/06/2015 - 03/14/2017
WELLS FARGO CLEARING SERVICES, LLC (FORT WAYNE IN)
IA
Issued 10/12/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/18/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/30/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/06/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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