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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Waters is a financial advisor with over 40 years of experience in the financial services industry. David is registered with Cetera Investment Advisers LLC and has a wide range of experience in investment advisory and brokerage services. David is a Certified Financial Planner and a Chartered Financial Consultant. David has worked with LPL Financial, Private Advisor Group, LLC, and Cetera Advisors LLC in the past. David is currently registered in 21 states and is licensed to provide investment advisory services in Pennsylvania and Texas.
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.
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.
A percentage of the total value of assets under management is charged.
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2
PA
03/21/2024 - Present
Cetera Investment Advisers LLC (PHILADELPHIA PA)
PA
05/19/2004 - 09/11/2018
LPL FINANCIAL LLC (PHILADELPHIA PA)
CT
03/15/1993 - 05/20/2004
WS GRIFFITH SECURITIES, INC. (HARTFORD CT)
CT
07/30/1981 - 03/15/1993
PHOENIX EQUITY PLANNING CORPORATION (HARTFORD CT)
BC
Issued 4/26/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 6/15/2006
Series 53 - Municipal Securities Principal Examination
BC
Issued 5/9/2005
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/5/2005
Series 7 - General Securities Representative Examination
BC
Issued 3/12/1984
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 7/28/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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