James Joseph Waters

Current Employers

Waters, James J.

3508 Bayfair Place, FL • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2023-03-28

FL RA
APPROVED

Since 2023-03-28

Branch Locations

3508 Bayfair Place, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Captrust Financial Advisors	Tampa	FL	07/1999	06/2017
Wells Fargo Advisors Financial Network Llc	Richmond	VA	05/2009	06/2017
James J. Waters, Investment Advisor	Tampa	FL	10/2022	Present
Retired	Tampa	FL	06/2017	Present

07/1999 → 06/2017

Captrust Financial Advisors

Tampa, FL
05/2009 → 06/2017

Wells Fargo Advisors Financial Network Llc

Richmond, VA
10/2022 → Present

James J. Waters, Investment Advisor

Tampa, FL
06/2017 → Present

Retired

Tampa, FL

Previous Registrations

2007-04-13 → 2017-12-31

Captrust Advisors, Llc

Tampa, FL
2002-06-15 → 2017-06-23

Wells Fargo Advisors Financial Network, Llc

Tampa, FL

Tampa, FL
1999-06-30 → 2002-06-20

Captrust Financial Advisors, Llc

Tampa, FL

Other Businesses

BAYFAIR HOMEOWNERS ASSOCIATION; NOT INVESTMENT RELATED; TAMPA, FL; HOMEOWNERS ASSOCIATON; TREASURER; START DATE 1/2008; 1 HR MONTH; 0 HRS DURING TRADING; DUTIES - COLLECT QUARTERLY ASSESSMENTS FROM HOMEOWNERS AND PAY BILLS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2022-07-15
S66	Uniform Combined State Law Examination	1999-12-01

S65 Uniform Investment Adviser Law Examination

2022-07-15
S66 Uniform Combined State Law Examination

1999-12-01

Other Names

Jim Waters
James J Waters

View on SEC IAPD