Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Waters is a financial advisor who has been in the financial services industry for over 30 years. Joseph works as a Registered Representative and Investment Advisor Representative for Calton & Associates, Inc. He is a licensed investment advisor in New York. Joseph also has experience working for other firms like CETERA INVESTMENT SERVICES LLC, GWN SECURITIES INC, and Lincoln Financial Advisors Corporation. Joseph provides financial planning, portfolio management for individuals, and selection of other advisors. He is a registered representative with FINRA and a member of the Securities Investor Protection Corporation (SIPC).
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
NY
09/14/2023 - Present
Calton & Associates, Inc. (East Islip NY)
NY
07/30/2021 - 09/11/2023
CETERA INVESTMENT SERVICES LLC (WESTBURY NY)
NY
05/16/2016 - 08/02/2021
GWN SECURITIES INC. (HAUPPAUGE NY)
NY
10/26/2015 - 05/23/2016
LINCOLN FINANCIAL ADVISORS CORPORATION (MELVILLE NY)
NY
02/23/2015 - 11/06/2015
ALLSTATE FINANCIAL SERVICES, LLC (CENTER MORICHES NY)
NY
10/19/2011 - 02/19/2015
VALIC FINANCIAL ADVISORS, INC. (LATHAM NY)
NY
06/01/2010 - 10/24/2011
PLANMEMBER SECURITIES CORPORATION (EAST ISLIP NY)
NY
03/23/2007 - 06/15/2010
HORNOR, TOWNSEND & KENT, INC. (UNIONDALE NY)
NJ
08/29/2000 - 03/29/2007
VALIC FINANCIAL ADVISORS, INC. (MORRISTOWN NJ)
TX
08/29/2000 - 12/31/2001
THE VARIABLE ANNUITY MARKETING COMPANY (HOUSTON TX)
NY
12/21/1996 - 08/15/2000
MUTUAL OF AMERICA SECURITIES CORPORATION (NEW YORK NY)
NY
08/05/1996 - 08/15/2000
MUTUAL OF AMERICA LIFE INSURANCE COMPANY (NEW YORK NY)
AZ
10/20/1994 - 08/08/1996
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
MA
05/09/1994 - 10/21/1994
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
MA
05/09/1994 - 10/21/1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
NY
12/03/1993 - 05/10/1994
PRIME CAPITAL SERVICES, INC. (POUGHKEEPSIE NY)
WI
04/13/1989 - 06/23/1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC. (MILWAUKEE WI)
WI
04/13/1989 - 06/23/1993
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
NY
03/15/1991 - 07/05/1991
JARON EQUITIES CORP. (HICKSVILLE NY)
PA
02/17/1988 - 12/20/1988
CIGNA SECURITIES, INC. (RADNOR PA)
IA
Issued 01/04/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/12/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 08/05/1980
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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