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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Geoffrey? Claim Your ProfileGeoffrey Dean Waters is a financial advisor at Raymond James & Associates, Inc. with over 30 years of experience in the financial services industry. Geoffrey is a registered representative in 6 states, including Texas, California, Oregon, Louisiana, New York and Hawaii. Geoffrey has a wide range of experience in the financial services industry, including working with individuals, businesses, and institutions. Geoffrey is dedicated to providing personalized financial advice and services to meet the needs of his clients.
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.
Please see note in schedule d - miscellaneous
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.
1
2
TX
03/30/2011 - Present
Raymond James & Associates, Inc. (DALLAS TX)
TX
10/08/2008 - 04/14/2011
STERNE, AGEE & LEACH, INC. (DALLAS TX)
TX
07/25/2007 - 08/08/2008
COUNTRYWIDE SECURITIES CORPORATION (PLANO TX)
TX
11/06/1996 - 07/31/2007
MORGAN KEEGAN & COMPANY, INC. (DALLAS TX)
NY
01/07/1991 - 11/07/1996
NATIONSBANC CAPITAL MARKETS, INC. (NEW YORK NY)
MA
04/02/1990 - 01/10/1991
NCNB SECURITIES, INC. (BOSTON MA)
NA
06/27/1988 - 04/02/1990
NCNB TEXAS SECURITIES, INC.
NA
09/29/1986 - 11/09/1987
FINANCIAL NETWORK INVESTMENT CORPORATION
BC
Issued 07/06/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/30/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/08/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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