David Samuel Waters

Current Employers

Employment History

• 05/2004 → 09/2018
  Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
  Philadelphia, PA
• 09/2015 → 09/2018
  Private Advisor Group, Llc
  Philadelphia, PA
• 08/2018 → Present
  Cetera Advisors Llc
  Denver, CO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2014-03-25 → 2018-09-11
  Lpl Financial Llc
  Philadelphia, PA
  Philadelphia, PA
• 2015-10-07 → 2018-09-10
  Private Advisor Group, Llc
  Philadelphia, PA
  Morristown, NJ

Other Businesses

1. NAME OF OTHER BUSINESS: PROFESSIONAL PLANNING ASSOCIATES, INC. INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE AND FINANCIAL SERVICES; START DATE: 07/1979; POSITION/TITLE/RELATIONSHIP: OWNER / FINANCIAL ADVISOR / AGENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: INSURANCE AND FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: PROFESSIONAL PLANNING ASSOCIATES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TRUSTEE OF COMPANY 401K PLAN; START DATE: 01/2013; POSITION/TITLE/RELATIONSHIP: TRUSTEE; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: TRUSTEE OF COMPANY 401K PLAN; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 04/2019; APX NUMBER OF HOURS PER WEEK: 16; APX NUMBER OF HOURS DURING TRADING HOURS: 16; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, AND LONG TERM CARE; 4.NAME OF OTHER BUSINESS: TRUSTEE FOR FATHERS IRA; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TRUSTEE FOR FATHERS IRA; START DATE: 03/2018; POSITION/TITLE/RELATIONSHIP: TRUSTEE; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: TRUSTEE DUTIES; 5. NAME OF OTHER BUSINESS: GREAT OAK FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: 1300 HORIZON DRIVE SUITE 103, CHALFRONT, PA 18914; NATURE OF BUSINESS: INSURANCE; START DATE: 01/2001; POSITION/TITLE/RELATIONSHIP: OWNER / INSURANCE AGENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: INDIVIDUAL AND GROUP INSURANCE; 6. NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: LIFE SETTLEMENT; START DATE: 01/2020; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE SETTLEMENTS THROUGH WELCOME FUNDS, INC.; 7. NAME OF OTHER BUSINESS: PROFESSIONAL PLANNING ASSOCIATES; INVESTMENT RELATED: NO; ADDRESS: 651 FOUNTAIN RD PLYMOUTH, PA 19462; NATURE OF BUSINESS: SEMINAR; START DATE: 05/2024; POSITION/TITLE/RELATIONSHIP: MODERATOR/SPREAKER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: MODERATOR AND SPEAKER FOR CPA CPE SEMINAR; 8. NAME OF OTHER BUSINESS: DAVID S. WATERS, LLC; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 01/2024; POSITION/TITLE/RELATIONSHIP: SHAREHOLDER/MEMBER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: COMPANY FORMED FOR TAX PURPOSES;

Exams

• S63 Uniform Securities Agent State Law Examination
  1983-04-26

Designations

Other Names

• David S Waters