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Chad Douglas Waters

LPl Financial LLC

San Diego, CA

Carlsbad, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-03-03
  • CA RA
    APPROVED
    Since 2023-03-03

Branch Locations

12625 High Bluff Drive Ste 311, San Diego, CA 92130 • United States

Carlsbad, CA • 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
Edward Jones St Louis MO 01/2015 03/2023
Lpl Financial Llc Carlsbad CA 03/2023 Present
Previous Registrations
  • 2015-03-16 → 2023-03-06
    Edward Jones
    Carlsbad, CA
    St Louis, MO
    Carlsbad, CA
    Del Mar, CA
    Encinitas, CA
Other Businesses

1) 12/2022 - Trifecta Wealth Management - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-03-13
  • S66 Uniform Combined State Law Examination
    2015-03-13
Designations

View on SEC IAPD

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