Matt Ward Waters

Employer firm

Prime Capital Financial CRD 288712

$39.1B regulatory AUM 1,816 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 01/2014 → 04/2018
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 05/2014 → 10/2017
  Lawing Financial, Inc.
  Greenwood Village, CO
• 07/2017 → Present
  Prime Capital Investment Advisors, Llc
  Overland Park, KS
• 04/2018 → 11/2020
  Private Client Services
  Louisville, KY

Previous Registrations

• 2014-05-08 → 2017-10-13
  Lawing Financial Inc
  Overland Park, KS
  Greenwood Village, CO

Other Businesses

1) PCRM, LLC doing business as Prime Capital Risk Management, investment-related, 6201 College Blvd., Suite #150, Overland Park, KS 66211, fixed-insurance products, insurance agent, 06/2021, 1hrs./mo., 10 hrs., sale and service of fixed-insurance products, including through non-affiliated Insurance Marketing Organizations (IMOs) 2)CHHSZ HOLDINGS, LLC, INVESTMENT-RELATED, 6201 COLLEGE BLVD SUITE #150, OVERLAND PARK, KS 66211, CHHSZ HOLDINGS, LLC IS A LIMITED LIABILITY COMPANY,"LLC" FORMED IN OCTOBER, 2019 UNDER THE LAWS OF THE STATE OF DELWARE. CHHSZ HOLDINGS, LLC IS THE SOLE OWNER OF PRIME CAPITAL INVESTMENT ADVISORS, LLC ("PCIA"), A FEDERALLY REGISTERED INVESTMENT ADVISER, MEMBER, <1 HOUR PER MONTH, <1 HOUR PER MONTH DURING TRADING HOURS, MEMBER PROVIDES PROFESSIONAL (INVESTMENT ADVISORY) SERVICES AS AN IAR OF PCIA.

Exams

• S66 Uniform Combined State Law Examination
  2014-05-07
• S63 Uniform Securities Agent State Law Examination
  2014-04-18

Designations

• Certified Financial Planner

Other Names

• Matt Waters