Best Investors
Account
Sign in
Best Investors
Account
Sign in
3411 Mar Vista Circle, Charlotte, NC 28209 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2014-05-13 |
| NC | RA | APPROVED | 2014-04-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ocean Advisors, Llc | Charlotte | NC | 06/2010 | Present |
Ocean Advisors, LLC, is contracted by businesses and companies to provide financial literacy programs for their employees. Typically, this will occur as part of a "Work/Life" program. Although the material if financial in nature, approximately 25% deal with investments and these events are basic and general in nature. All events are contracted through the Ocean Advisors, LLC, office but is considered a separate activity to the investment management services offered by the firm. As a sole practioner of Ocean Advisors, LLC, this activity is conducted exlusively by Drew Waterbury. These activities typically require 1 - 5 hours per month of activity outside of Ocean Advisors, LLC, financial planning and investment advisory business activities. The duties related to the financial literacy programs include presenting material provided by a "work/life" vender either on-site or via a webinar format. In some cases, the material will be created by Drew Waterbury.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-09 |
| S63 | Uniform Securities Agent State Law Examination | 1988-03-17 |
Reach out to this advisor