Richard Waters (CRD# 2421557) is an Investment Advisor Representative working at Osaic Institutions, Inc. in Zephyrhills, FL and has over 24 years of experience in the finance industry. Richard Waters has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 5969810
Cambridge Investment Research Advisors, Inc.
CRD# 5159569
Primerica Advisors
CRD# 6525251
Truist Advisory Services, Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Infinex Investments, Inc. | Meriden, CT | Aug 2020 - Current | 3 |
| Ameriprise Financial Services | Dade City, FL | Oct 2018 - Aug 2020 | 1 |
| Centennial Bank | Zephyrhills, FL | Feb 2014 - Aug 2020 | 6 |
| Infinex Investments | Dade City, FL | Feb 2014 - Oct 2018 | 4 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Apr 2000 |
| S66 | NASAA Uniform Combined State Law Examination | Oct 2001 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- FL
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Total Assets Under Management3,627MILLIONS
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Total Number of Accounts8,478ACCOUNTS
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Average Account Value$427,771
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