Brian Henry Waters

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

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

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Worcester, MA
• 11/2016 → Present
  Wells Fargo Clearing Services, Llc
  Worcester, MA

Other Businesses

TRUSTEE FOR FATHER; INVESTMENT RELATED; SHREWSBURY, MA; START 8/2014 & 4/2017; 4 HRS PER MONTH; LESS THAN 1 HR DURING TRADING. CO-TRUSTEE FOR BROTHER'S TRUST; INV. RELATED; SHREWSBURY, MA; START 8/10/2016; 4 HRS PER MONTH; LESS THAN 1 HR PER MONTH. CO-EXECUTOR OF FATHER'S ESTATE; INV. RELATED; SHREWSBURY, MA; START 3/30/2017; 4 HRS PER MONTH; LESS THAN 1 HR DURING TRADING. A W Massage - 100% Owned by Spouse (Co-Signer on Lease); NOT INV RELATED;SHREWSBURY,MA; MASSAGE THERAPY; .01OWNERSHIP; START DATE: 6/30/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-10-05
• S63 Uniform Securities Agent State Law Examination
  1982-11-03