Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam James Waters is a financial advisor with LPL Financial LLC, based in Lancaster, Pennsylvania. William has been a registered representative since 1991. He also has a Series 6, Series 7, and Series 63 license. William is a Certified Financial Planner. Prior to working at LPL Financial, William worked at INVEST Financial Corporation and PFS Investments Inc.
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.
Consulting and other non-discretionary advisory services
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
PA
02/14/2018 - Present
LPL Financial LLC (Lancaster PA)
PA
08/25/2014 - 02/14/2018
INVEST FINANCIAL CORPORATION (Lancaster PA)
PA
07/21/1997 - 08/27/2014
PFS INVESTMENTS INC. (LANCASTER PA)
GA
01/04/1995 - 03/06/1997
PFS INVESTMENTS INC. (DULUTH GA)
CA
02/19/1991 - 08/04/1994
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
BC
Issued 02/14/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/2015
Series 7 - General Securities Representative Examination
BC
Issued 02/14/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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