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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 Samuel Waters is a financial advisor with Cetera Investment Advisers LLC. David has been working in the financial services industry since 1981. David is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 6, 7, 22, 24, 52TO, 53, and 63 securities licenses, as well as the SIE. David is also registered as an Investment Advisor Representative in the state of Pennsylvania. David has been a financial advisor at Cetera Investment Advisers LLC since 2024, but has worked at LPL Financial LLC, WS Griffith Securities, Inc. and Phoenix Equity Planning Corporation in the past. David holds the designations of Certified Financial Planner and Chartered Financial Consultant. David is dedicated to providing financial guidance and services to clients in a range of areas including financial planning, portfolio management, and investment advice.
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.
1
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 04/26/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/15/2006
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/09/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/05/2005
Series 7 - General Securities Representative Examination
BC
Issued 03/12/1984
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 07/28/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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