DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Warren Davis Waters

LPL Financial LLCBD affiliatedFort Worth, Tx dual registrantIAPD 2750052

Certified Financial Planner

Feed of 09/15/2026

Also filed as Warren Davis Walters

At current firm

3 y

since May 30, 2023

In the industry

30 y

since Jun 13, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since May 30, 2023 · Fort Worth, Tx
Creative Planning Institutional Advisors, LLC institutional
Dec 22, 2021 to May 31, 2023 · Fort Worth, Tx
Cetera Investment Advisers LLC BD affiliated
Nov 12, 2020 to Jun 28, 2023 · Fort Worth, Tx
First Allied Advisory Services, Inc. former
Jan 5, 2018 to Nov 12, 2020 · Fort Worth, Tx
Waddell & Reed former
May 24, 2017 to Nov 13, 2017 · Colleyville, Tx
Cgn Advisors, LLC independent RIA
Jun 18, 2015 to Jan 26, 2017 · Keller, Tx
Wells Fargo Advisors wirehouse
May 23, 2013 to Jun 2, 2015 · Southlake, Tx
Edward Jones national BD
Sep 7, 2012 to Dec 6, 2012 · St Louis, Mo
National Planning Corporation ("Npc Of America" In Fl & Ny) former
Jul 12, 2011 to Mar 16, 2012 · Forth Worth, Tx
Charles Schwab & Co., Inc. national BD
Feb 22, 2007 to May 13, 2011 · Fort Worth, Tx
Td Ameritrade Investment Management, LLC former
Jul 28, 2004 to Dec 15, 2006 · Fort Worth, Tx
Equitable Advisors, LLC national BD
Jun 14, 1996 to Aug 6, 2004 · Fort Worth, Tx

Moves

a registration end followed by a registration begin elsewhere

Cetera Investment Advisers LLC to Creative Planning Institutional Advisors, LLC
left Jun 28, 2023, registered Dec 22, 2021 (-553 days) · Other
Creative Planning Institutional Advisors, LLC to LPL Financial LLC
left May 31, 2023, registered May 30, 2023 (-1 days) · Other · moved with a team
First Allied Advisory Services, Inc. to Cetera Investment Advisers LLC
left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
Waddell & Reed to First Allied Advisory Services, Inc.
left Nov 13, 2017, registered Jan 5, 2018 (53 days) · Other
Cgn Advisors, LLC to Waddell & Reed
left Jan 26, 2017, registered May 24, 2017 (118 days) · Other
Wells Fargo Advisors to Cgn Advisors, LLC
left Jun 2, 2015, registered Jun 18, 2015 (16 days) · Other
Edward Jones to Wells Fargo Advisors
left Dec 6, 2012, registered May 23, 2013 (168 days) · Affiliated broker-dealer or bank to wirehouse
National Planning Corporation ("Npc Of America" In Fl & Ny) to Edward Jones
left Mar 16, 2012, registered Sep 7, 2012 (175 days) · Other
Charles Schwab & Co., Inc. to National Planning Corporation ("Npc Of America" In Fl & Ny)
left May 13, 2011, registered Jul 12, 2011 (60 days) · Other
Td Ameritrade Investment Management, LLC to Charles Schwab & Co., Inc.
left Dec 15, 2006, registered Feb 22, 2007 (69 days) · Other
Equitable Advisors, LLC to Td Ameritrade Investment Management, LLC
left Aug 6, 2004, registered Jul 28, 2004 (-9 days) · Other

Signals

Warren Davis Waters left Cetera Investment Advisers Llc for Creative Planning Institutional Advisors, Llc (registered 2021-12-22)
Jun 28, 2023 · Advisor changed firm · fact
Warren Davis Waters left Creative Planning Institutional Advisors, Llc for Lpl Financial Llc (registered 2023-05-30)
May 31, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address