James Alexander Waters

Current Employers

Employment History

• 01/2010 → 10/2017
  Ameriprise Financial Services, Inc.
  Birmingham, AL
• 10/2017 → 04/2020
  Fsc Securities Corp
  Atlanta, GA
• 10/2017 → Present
  Csenge Advisory Group, Llc
  Clearwater, FL
• 10/2017 → Present
  Wealth Strategies Llc
  Birmingham, AL
• 04/2020 → Present
  Lion Street Financial
  Birmingham, AL
• 11/2025 → Present
  Integrity Alliance, Llc.
  Birmingham, AL

Previous Registrations

• 2017-10-27 → 2020-04-30
  Fsc Securities Corporation
  Birmingham, AL
• 2010-01-08 → 2017-11-13
  Ameriprise Financial Services, Llc
  Birmingham, AL
• 2003-07-01 → 2010-01-11
  Wells Fargo Clearing Services, Llc
  Birmingham, AL
  Birmingham, AL
• 2001-06-27 → 2003-07-01
  Prudential Equity Group, Llc
  Birmingham, AL

Other Businesses

1: WEALTH STRATEGIES LLC POSITION: 1099 Contractor NATURE: Investment advisory, financial planning, fee based and commissioned asset management, life insurance, long term care insurance and annuity business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 10/27/2017 ADDRESS: 2100 Riverchase Center, Suite 408, Birmingham AL 35244, United States DESCRIPTION: I service my clients by completing comprehensive financial planning and then a risk assessment using riskalyze to line up goals, time horizons, and risk tolerance to build tailored portfolios to help my clients achieve the financial goals important to them and their families. I also work with them on strategies to reduce their tax liability, provide estate planning ideas college education goals, as well as long term care and other insurance planning strategies. I manage the portfolios to maintain a risk balance that they are comfortable with as well. In addition to this I work with them to continue to educate them on financial issues facing them in the present as well as the future. 2: ASSOCIATION OF FINANCIAL EDUCATORS POSITION: Affiliate NATURE: Association of Financial Educators is a 501(c)(3) nonprofit organization in partnership with the federal government and gets their funding from the Consumer Financial Protection Bureau to educate as many consumers as possible about basic financial matters. AFE reaches out to local businesses, municipalities or nonprofit organizations to see if they would be interested in offering their employees or local community patrons classes on basic financial matters for educational purposes only. I pay a monthly fee to be a member of this organization to go out into the Jefferson, Shelby and Lee county communities and provide 30-45 minute educational presentations on a variety of financial topics that have already been finra approved at no cost to anyone involved so we can increase the general financial knowledge base of people in these communities. In addition to this I will receive no compensation nor will I solicit attendees or promote or solicit any financial products, this is for general financial education purposes only. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 09/27/2023 ADDRESS: 108 Wild Basin Rd. S, Suite 250, Austin TX 78746, United States DESCRIPTION: To provide general education seminars at no cost to the employees of local companies, municipalities and nonprofit organizations in the counties of Jefferson, Shelby, and Lee of the state of Alabama. The education programs last 30-45 minutes and we provide the slides before the presentations via email to the facility to hand out to the attendees so they can take notes and use as a reference to the material presented. I am not allowed to solicit anyone at the presentation nor am I allowed to recommend any products in these presentations. These are for general financial education purposes only. 3: AMERITAS POSITION: Consultant NATURE: Completed a producer authorization form to sell disability insurance and am being compensated directly from Ameritas. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/13/2024 ADDRESS: 5900 O Street, Lincoln NE 68510, United States DESCRIPTION: Sell disability insurance. 4: CSENGE ADVISORY GROUP POSITION: 1099 Contract employee NATURE: Investment advisory financial planning and fee based asset management business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 04/30/2020 ADDRESS: 4755 Bay Dr, Clearwater FL 33764, United States DESCRIPTION: Investment advisory, financial planning and fee based asset management.

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-06-27
• S63 Uniform Securities Agent State Law Examination
  1994-05-12

Other Names

• James Alexander Waters
• James A Waters
• Jimmy Waters
• Jimmy A Waters