Richard Waters
Investment adviser representative at Wells Fargo Advisors
10 yearsExperience
1 stateRegistered in
$671.4BFirm assets
36 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
10 years in the industry.
- Wells Fargo Clearing Services, LLCJan 2026 to now
- J.P. Morgan Securities LLCApr 2022 to Jan 2026
- JPMorgan Chase Bank, N.A.Apr 2022 to Jan 2026
- Charles Schwab & Co, IncJan 2022 to Mar 2022
- TD Ameritrade Investment Management, LLCJan 2019 to Mar 2022
- Charles SchwabJun 2017 to Mar 2022
- TD Ameritrade, iNCJun 2017 to Mar 2022
- TdameritradeJun 2017 to Mar 2022
- Wal-martNov 2016 to Jun 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2017
- Series 66 · Uniform Combined State Law2019
State registrations
Registered as an investment adviser representative in 1 state (TX).
Wells Fargo Advisors
Legal name: Wells Fargo Clearing Services, LLC
$671.4BAssets managed
1,324,168Clients
14,661Advisers
36 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6824428
- Firm CRD
- 19616