Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Waters is a financial advisor with over 10 years of experience in the industry. James is currently registered with Rockefeller Financial LLC and has been in this role since February 2024. Before joining Rockefeller Financial LLC, James worked at Morgan Stanley and Woodbury Financial Services, Inc. James specializes in providing financial planning and investment advice for individuals and businesses.
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.
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
NC
02/08/2024 - Present
Rockefeller Financial LLC (Charlotte NC)
NC
04/01/2020 - 02/14/2024
MORGAN STANLEY (Charlotte NC)
NC
03/01/2019 - 04/02/2020
WOODBURY FINANCIAL SERVICES, INC. (CHARLOTTE NC)
NC
10/02/2018 - 03/01/2019
QUESTAR CAPITAL CORPORATION (CHARLOTTE NC)
NC
04/18/2018 - 08/31/2018
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC. (CHARLOTTE NC)
MA
02/25/2011 - 01/03/2014
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. (BOSTON MA)
BOTH
Issued 08/20/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/18/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/31/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/18/2018
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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