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Thomas Gerard Waters

Knights OF Columbus Asset Advisors LLC

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About Thomas Gerard Waters

Thomas Gerard Waters is a registered investment advisor representative with Knights of Columbus Asset Advisors LLC. Thomas has been in the industry since 1990, working with several firms before joining Knights of Columbus. Thomas is registered to provide investment advice in Georgia. Thomas currently works in the Roswell, GA office of Knights of Columbus.

Firm Information

Thomas Waters is currently registered with Knights OF Columbus Asset Advisors LLC. Knights OF Columbus Asset Advisors LLC is an investment advisory firm located in NEW HAVEN, CT. They offer portfolio management services to individuals, investment companies, pooled investment vehicles, and businesses. The firm also provides pension consulting and selection of other advisers services. They manage a total of $27.24 billion in assets for 3,799 clients. They are registered with the SEC and have a SEC number of 801-80844.
Knights OF Columbus Asset Advisors LLC

ONE COLUMBUS PLAZA

NEW HAVEN, CT 06510

$27.24B

Assets Under Management

Not reported

Total Clients

197

Total Financial Advisors

Services Offered

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.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Thomas Waters’s Registration & Firm History

CT

06/06/2024 - Present

Knights OF Columbus Asset Advisors LLC (NEW HAVEN CT)

GA

02/15/2011 - 04/06/2011

NYLIFE SECURITIES LLC (MACON GA)

GA

11/21/2008 - 11/22/2010

HARTFORD EQUITY SALES COMPANY INC. (ALPHARETTA GA)

WA

04/05/2006 - 04/13/2007

SYMETRA INVESTMENT SERVICES, INC. (BELLEVUE WA)

FL

01/13/2005 - 03/03/2006

INVEST FINANCIAL CORPORATION (TAMPA FL)

CA

06/07/1995 - 01/04/2005

ESSEX NATIONAL SECURITIES, INC. (NAPA CA)

NA

01/29/1990 - 06/09/1995

INDEPENDENT FINANCIAL SECURITIES, INC.

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Licenses & Designations

IA

Issued 04/19/2021

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/24/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/10/1989

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 07/07/1989

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Thomas Gerard Waters.
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