Katherine Farias Waters

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2015 → Present
  Raymond James Financial Services, Inc
  St Petersburg, FL
• 11/2015 → Present
  Raymond James Financial Services Advisors Inc.
  Fayetteville, NC
• 04/2020 → Present
  Raymond James & Associates, Inc.
  Stateville, NC
• 06/2020 → Present
  Allen Tate Realtors
  Statesville, NC

Previous Registrations

• 2013-09-24 → 2015-07-15
  Raymond James & Associates, Inc.
  St. Petersburg, FL

Other Businesses

(1)Name of Business: Innergized Eats Address: 228 Winter Flake Drive, Statesville, NC, 28677, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 10/12/2022 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 0-1 Description of duties: My husband and I purchased Naturals2go vending machines to place in local businesses as a side opportunity to facilitate on the weekends/in the evenings. The business is currently in his name, but reported on our married filing jointly tax return. \nAt this time, we have 13 machines installed. Basic responsibilities I am involved with are stocking machines and performing machine maintenance, as needed, not during my work hours.

Exams

• S66 Uniform Combined State Law Examination
  2013-09-20
• S63 Uniform Securities Agent State Law Examination
  2008-10-14

Other Names

• Katherine E Farias