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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

ANGIE ELIZABETH WATERS

Advisor at OSAIC INSTITUTIONS, INC.

Abingdon, VA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 19, 2005 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: OSAIC INSTITUTIONS, INC.
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: Mar 11, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Mar 11, 2004
First registration: Sep 19, 2005
Dual registered: yes, broker-dealer
Other names: ANGIE ELIZABETH SHORTT|ANGIE ELIZABETH ROBERTS|ANGIE SHORTT ROBERTS|ANGIE E SHORTT|ANGIE E WATERS
IAPD individual key: 4327268

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
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Jul 2, 2012	n/a	yes	Abingdon, VA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 11, 2011	Sep 13, 2012	no	ABINGDON, VA	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Jun 14, 2007	Oct 11, 2011	no	CHARLOTTE, NC\|BRISTOL, VA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 19, 2005	May 29, 2007	no	BRISTOL, TN\|BRISTOL, TN	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
LPL FINANCIAL LLC	OSAIC INSTITUTIONS, INC.	Sep 13, 2012	Jul 2, 2012	-73	Firm change after gap	Other
UVEST FINANCIAL SERVICES GROUP, INC.	LPL FINANCIAL LLC	Oct 11, 2011	Oct 11, 2011	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UVEST FINANCIAL SERVICES GROUP, INC.	May 29, 2007	Jun 14, 2007	16	Firm change	Other

Relationships

Registered with (4)

→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: current employment
Jul 2, 2012 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 11, 2011 to Sep 13, 2012factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Jun 14, 2007 to Oct 11, 2011factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 19, 2005 to May 29, 2007factForm ADV

Dated events

No dated event names this entity yet.