Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Waters is a financial advisor with The Leaders Group, Inc. James Waters has been a financial advisor for 13 years and has a strong background in securities and investment products. James Waters is registered with the state of Colorado and California and is series 6, 7, and 63 licensed.
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.
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.
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2
CO
01/07/2021 - Present
THE Leaders Group, Inc. (LITTLETON CO)
CO
06/05/2019 - 09/04/2019
PROEQUITIES, INC. (Greenwood Village CO)
CO
07/31/2018 - 06/05/2019
GWFS EQUITIES, INC. (GREENWOOD VILLAGE CO)
CO
11/14/2016 - 04/13/2017
TRANSAMERICA FINANCIAL ADVISORS, INC (GREENWOOD VILLAGE CO)
CO
11/21/2007 - 01/23/2008
TOUCHPOINT SECURITIES CORP. (WESTMINSTER CO)
CO
04/19/2007 - 09/20/2007
WM SMITH SECURITIES INCORPORATED (DENVER CO)
AL
04/21/2003 - 10/21/2003
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
BC
Issued 08/29/2018
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/01/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/2016
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 04/18/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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