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Rodney Clark Waterbury

Captrust

Roseville, CA

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Current Employers
Captrust

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-01-25
TX RA APPROVED 2021-01-25
  • CA RA
    APPROVED
    Since 2021-01-25
  • TX RA
    APPROVED
    Since 2021-01-25

Branch Locations

1410 Rocky Ridge Drive, Suite 150, Roseville, CA 95661 • 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
OrganizationCityStateFromTo
Lpl Financial, Llc Roseville CA 10/2009 09/2017
Placer Summit Financial Group, Llc Roseville CA 10/2009 09/2017
Royal Alliance Roseville CA 09/2017 01/2021
Genovese Burford & Brothers Roseville CA 09/2017 01/2021
Capfinancial Securities Llc Raleigh NC 01/2021 Present
Capfinancial Partners Llc (Captrust) Raleigh NC 01/2021 Present
  • 10/2009 → 09/2017
    Lpl Financial, Llc
    Roseville, CA
  • 10/2009 → 09/2017
    Placer Summit Financial Group, Llc
    Roseville, CA
  • 09/2017 → 01/2021
    Royal Alliance
    Roseville, CA
  • 09/2017 → 01/2021
    Genovese Burford & Brothers
    Roseville, CA
  • 01/2021 → Present
    Capfinancial Securities Llc
    Raleigh, NC
  • 01/2021 → Present
    Capfinancial Partners Llc (Captrust)
    Raleigh, NC
Previous Registrations
  • 2017-12-22 → 2021-03-31
    Genovese Burford & Brothers Wealth And Retirement Plan Mgmt, Llc
    Roseville, CA
    Sacramento, CA
  • 2009-10-27 → 2017-10-09
    Placer Summit Financial Group, Llc
    Roseville, CA
  • 2005-07-05 → 2009-10-27
    Charles Schwab & Co., Inc.
    Roseville, CA
    Roseville, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-06-20
S63 Uniform Securities Agent State Law Examination 1995-03-27
  • S66 Uniform Combined State Law Examination
    2005-06-20
  • S63 Uniform Securities Agent State Law Examination
    1995-03-27
Designations
Other Names
  • Rod C Waterbury

View on SEC IAPD

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Other Offices

DCA FAMILY OFFICE, LLC · ROSEVILLE, CA
DCA MANAGEMENT COMPANY, INC. · ROSEVILLE, CA
MUTUAL ADVISORS, LLC · Roseville, CA
DCA FAMILY OFFICE, LLC · Roseville, CA
COMMONWEALTH FINANCIAL NETWORK · Roseville, CA
EDWARD JONES · ROSEVILLE, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Roseville, CA
MERCER GLOBAL ADVISORS INC. · ROSEVILLE, CA

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