Thomas J Waters
Investment adviser representative at LPL Financial LLC
12 yearsExperience
1 stateRegistered in
$819.1BFirm assets
51 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 assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
12 years in the industry.
- LPL Financial LLCJul 2025 to now
- UnemployedMar 2025 to Jul 2025
- Applied Materials Inc.Aug 2022 to Mar 2025
- UnemployedJun 2022 to Aug 2022
- Sensiba LLPJul 2021 to Jan 2022
- Waters Financial Group Inc.Jun 2020 to Sep 2020
- Forest Hills Country ClubJun 2019 to Sep 2019
- Santa Clara UniversityAug 2018 to Jun 2022
- Forest Hills Country ClubJun 2018 to Aug 2018
- Forest Hills Country ClubJun 2017 to Sep 2017
- Chaminade College PreparatoryJul 2014 to Jun 2018
Exams passed
- Series 65 · Uniform Investment Adviser Law2026
- Series 63 · Uniform Securities Agent State Law2026
State registrations
Registered as an investment adviser representative in 1 state (MO).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 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
- 7269581
- Firm CRD
- 6413