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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Theodore? Claim Your ProfileTheodore Cooke Waters iii is a financial advisor with over 30 years of experience in the industry. Theodore currently works at Morgan Stanley and is registered with FINRA and the Securities and Exchange Commission. Theodore has previously worked at Deutsche Bank Securities Inc., DB Alex. Brown LLC and Alex. Brown & Sons Incorporated. Theodore is licensed in 39 states and specializes in providing financial advice to individuals, high net worth individuals, corporations and investment companies. Theodore holds Series 6, 7, 63, and 65 licenses and is registered in the District of Columbia, Maryland and 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
MD
02/14/2014 - Present
Morgan Stanley (Baltimore MD)
MD
01/13/2001 - 02/24/2014
DEUTSCHE BANK SECURITIES INC. (BALTIMORE MD)
MD
09/01/1997 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
NA
09/27/1993 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
MD
06/01/1992 - 10/06/1993
T. ROWE PRICE INVESTMENT SERVICES, INC. (BALTIMORE MD)
IA
Issued 08/01/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/03/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/23/1993
Series 7 - General Securities Representative Examination
BC
Issued 04/21/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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