Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul Waterman is a financial advisor with over 20 years of experience in the industry. Paul has been with Raymond James & Associates, Inc. since 2019. Prior to that, Paul worked for Wells Fargo Clearing Services, LLC and A.G. Edwards & Sons, Inc. Paul is registered to provide securities and investment advisory services in many states across the U.S., including Arizona, California, Colorado, Florida, Idaho, Massachusetts, Michigan, Minnesota, Montana, Nevada, New York, Ohio, Oregon, South Dakota, Texas, Virginia, Washington, and Wisconsin. Paul holds licenses for Series 63, Series 66, Series 7, Series 9, Series 10, and SIE, as well as other 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.
Please see note in schedule d - miscellaneous
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
OR
04/14/2021 - Present
Raymond James & Associates, Inc. (Bend OR)
OR
01/01/2008 - 02/21/2019
WELLS FARGO CLEARING SERVICES, LLC (BEND OR)
OR
09/11/1998 - 01/03/2008
A. G. EDWARDS & SONS, INC. (BEND OR)
BOTH
Issued 07/07/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/27/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/13/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/08/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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