Joe Edwin Waters

Current Employers

Osaic Institutions, Inc.

538 Preston Avenue, Meriden, CT 06450-4858 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2025-12-15
VA	RA	APPROVED	2021-02-03

NC RA
APPROVED

Since 2025-12-15
VA RA
APPROVED

Since 2021-02-03

Branch Locations

230 Wilson Dr, Boone, NC 28607 • United States

350 W. Main Street, Abingdon, VA 24210 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Bi Investments Llc	Glen Allen	VA	03/2006	08/2017
First Bank & Trust	Abingdon	VA	04/2007	08/2017
Infinex Investments, Inc.	Abingdon	VA	06/2008	08/2017
Infinex Investments, Inc.	Meriden	CT	11/2017	Present
New Peoples Bank	Abingdon	VA	09/2017	Present

03/2006 → 08/2017

Bi Investments Llc

Glen Allen, VA
04/2007 → 08/2017

First Bank & Trust

Abingdon, VA
06/2008 → 08/2017

Infinex Investments, Inc.

Abingdon, VA
11/2017 → Present

Infinex Investments, Inc.

Meriden, CT
09/2017 → Present

New Peoples Bank

Abingdon, VA

Other Businesses

1) New Peoples Bank. Yes, investment related. Banking. Senior Vice President . Approx 20 hours per month during trading hours. 2.) JACQ Capital LLC 19264 Sterling Drive Abingdon, VA 24211. Rental Property Holding Company. Yes, Investment related. Managing/Operating Member. Started 6/30/2015. Approx 5 Hours per month. 0 during trading hours. Rental Income. Financial Management.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-01-30
S63	Uniform Securities Agent State Law Examination	2005-11-18

S65 Uniform Investment Adviser Law Examination

2021-01-30
S63 Uniform Securities Agent State Law Examination

2005-11-18