Joseph Michael Waters

Employer firm

Calton & Associates, Inc. CRD 20999

$1.58B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• 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

• 05/2016 → 07/2021
  Gwn Securities, Inc
  Palm Beach Gardens, FL
• 07/2021 → 09/2023
  Cetera Investment Services Llc
  St Cloud, MN
• 07/2021 → 09/2023
  Cetera Investment Advisers Llc
  Melville, NY
• 09/2023 → Present
  Calton & Associates, Inc.
  Tampa, FL

Previous Registrations

• 2021-07-30 → 2023-09-11
  Cetera Investment Advisers Llc
  Westbury, NY
• 2016-06-20 → 2021-08-02
  Gwn Securities Inc.
  Palm Beach Gardens, FL
  Hauppauge, NY
  Palm Beach Gardens, FL
• 2013-01-10 → 2015-02-19
  Valic Financial Advisors, Inc.
  Latham, NY

Other Businesses

1)SERVICING INDIVIDUAL SENIOR MEDICARE SUPPLEMENTAL POLICIES

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-01-04
• S63 Uniform Securities Agent State Law Examination
  1988-02-12

Other Names

• Joe Waters