David Waters
David Waters is a CFP, ChFC-designated registered investment advisor at Cetera Investment Advisers LLC, based in Philadelphia, PA, with 45 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
190 N Independence Mall West Suite 602, Philadelphia, PA, 19106
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Regulatory History (1)
Customer Dispute
April 2020Other Business ActivitiesSells Insurance
David is the owner, financial advisor, and agent for Professional Planning Associates, Inc., which offers insurance and financial services, dedicating full-time hours to it. He also works as an insurance agent selling various insurance products and life settlements, and owns Great Oak Financial, an insurance business.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Advisors LLC
Cetera Advisors LLCBroker
Previous Registrations
Cetera Advisors LLC
Private Advisor Group, LLC
LPL Financial LLC
LPL Financial LLCBroker
Ws Griffith Securities, INC.Broker
Phoenix Equity Planning CorporationBroker
State Registrations21 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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