Jesse Waters

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 11/2016 → 03/2019
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Menlo Park, CA
• 03/2015 → 10/2016
  Oracle
  Redwood Shores, CA
• 04/2017 → 03/2019
  Bank Of America, N.A.
  Menlo Park, CA
• 03/2019 → 06/2021
  Voya Financial Advisors, Inc.
  Foster City, CA
• 06/2021 → 11/2021
  Cetera Advisor Networks Llc
  El Segundo, CA
• 11/2021 → Present
  Lpl Financial Llc
  San Mateo, CA

Previous Registrations

• 2021-06-09 → 2021-12-02
  Cetera Wealth Services, Llc
  Agoura Hills, CA
  Foster City, CA
• 2019-03-26 → 2021-06-09
  Voya Financial Advisors, Inc.
  Foster City, CA
  Agoura Hills, CA
• 2017-02-28 → 2019-03-25
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Palo Alto, CA

Other Businesses

1. 02/07/2024 - jessewatersfinancial LLC - Inv Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started: 2/6/2024 - 160 Hrs/mo During Trading. 2) 09/15/2025 - In Phase Wealth Management - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:09/10/2025 - 12 Hrs/Mth - 8 Hrs During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2017-02-27