Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Waters is a financial advisor at Next Financial Group, Inc. Patrick has been in the financial industry since 2004 and has worked with various financial institutions, including FORESIDE FINANCIAL SERVICES, LLC, STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC, BLACKROCK INVESTMENTS, INC., FAM DISTRIBUTORS, INC., and T. ROWE PRICE INVESTMENT SERVICES, INC. Patrick holds several licenses and designations, including Series 3, 6, 7, 30, 63, and 66. Patrick is licensed to provide financial advice in Texas.
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.
A percentage of the total value of assets under management is charged.
Seminar/workshop attendance fees
1
2
TX
01/24/2024 - Present
Next Financial Group, Inc. (HOUSTON TX)
MA
06/08/2020 - 08/28/2023
FORESIDE FINANCIAL SERVICES, LLC (Boston MA)
MA
08/23/2010 - 04/30/2019
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC (Boston MA)
NY
09/29/2006 - 12/04/2008
BLACKROCK INVESTMENTS, INC. (NEW YORK NY)
NY
10/18/2005 - 09/29/2006
FAM DISTRIBUTORS, INC. (NEW YORK NY)
MD
08/18/2000 - 05/12/2005
T. ROWE PRICE INVESTMENT SERVICES, INC. (BALTIMORE MD)
BOTH
Issued 01/30/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/20/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/25/2021
Series 30 - NFA Branch Manager Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/31/2012
Series 3 - National Commodity Futures Examination
BC
Issued 09/15/2003
Series 7 - General Securities Representative Examination
BC
Issued 08/17/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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