Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keith? Claim Your ProfileKeith Joseph Waters is a registered representative with Stifel, Nicolaus & Company, Inc. Keith has been in the industry since 2009. Keith is licensed to sell securities in Missouri and Texas. Keith holds Series 63, 7TO, 9, 10, and 99TO licenses.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MO
02/04/2025 - Present
Stifel, Nicolaus & Company, Inc. (ST. LOUIS MO)
BC
Issued 01/11/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/18/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/10/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/16/2023
Series 99TO - Operations Professional Examination
BC
Issued 05/11/2019
Series 7TO - General Securities Representative Examination
BC
Issued 03/02/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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