Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brett? Claim Your ProfileBrett Joseph Waterfield is a financial advisor with over 20 years of experience in the financial services industry. Brett is currently registered with LPL Financial LLC, and is a CERTIFIED FINANCIAL PLANNER™. Brett specializes in providing financial planning and investment management services to a wide range of clients, including individuals, families, businesses, and charitable organizations. Prior to joining LPL Financial, Brett has worked for a number of other financial institutions, including Waterstone Financial Group, Inc., TD Ameritrade, Inc., Federated Securities Corp., Talbot Financial Services, Inc., and Raymond James Financial Services, Inc.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
MA
03/18/2009 - Present
LPL Financial LLC (BOSTON MA)
IL
06/09/2008 - 03/18/2009
WATERSTONE FINANCIAL GROUP, INC. (ITASCA IL)
IL
02/04/2004 - 06/04/2008
TD AMERITRADE, INC. (CHICAGO IL)
PA
08/02/2001 - 02/06/2004
FEDERATED SECURITIES CORP. (PITTSBURGH PA)
NM
10/07/1999 - 05/18/2001
TALBOT FINANCIAL SERVICES, INC. (ALBUQUERQUE NM)
FL
01/04/1999 - 09/30/1999
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
FL
11/21/1997 - 01/04/1999
ROBERT THOMAS SECURITIES, INC (ST. PETERSBURG FL)
BOTH
Issued 05/15/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/17/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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