DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)42 years in industry

GREGORY JOSEPH WATERS

Advisor at LPL FINANCIAL LLC

CHESTERFIELD, MO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:08f3baa2-a40a-637f-19d2-bca1ce989407

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 31, 1995 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 21, 1983earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63
First exam: Oct 21, 1983
First registration: Oct 31, 1995
Dual registered: yes, broker-dealer
Other names: GREGORY JOSEPH WATERS|GREGORY JOSEPH WATERS
IAPD individual key: 1189626

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 14, 2018	n/a	yes	CHESTERFIELD, MO	Current employment
INVEST FINANCIAL CORPORATION	Former SEC adviser	Nov 9, 2007	Feb 21, 2018	no	CHESTERFIELD, MO\|APPLETON, WI\|APPLETON, WI	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Nov 18, 2004	Nov 9, 2007	no	CHESTERFIELD, MO	Previous registration
WATERS FINANCIAL GROUP, INC.	n/a	Oct 31, 1995	Nov 18, 2004	no	CHESTERFIELD, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
INVEST FINANCIAL CORPORATION	LPL FINANCIAL LLC	Feb 21, 2018	Feb 14, 2018	-7	Bulk transfer	Other
SECURITIES AMERICA ADVISORS, INC.	INVEST FINANCIAL CORPORATION	Nov 9, 2007	Nov 9, 2007	0	Firm change	Other
WATERS FINANCIAL GROUP, INC.	SECURITIES AMERICA ADVISORS, INC.	Nov 18, 2004	Nov 18, 2004	0	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Feb 14, 2018 to presentfactForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Nov 9, 2007 to Feb 21, 2018factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Nov 18, 2004 to Nov 9, 2007factForm ADV
→ WATERS FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Oct 31, 1995 to Nov 18, 2004factForm ADV

Dated events

No dated event names this entity yet.