Jim Waters
Branch Examiner at LPL Financial | Cincinnati, Ohio, United States
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Branch Examiner at LPL Financial in August 2021 to December 2023
Chief Operating Officer at Premier Planning Group, Inc. in April 2019 to August 2021
Senior Director, Retail Business Development at Touchstone Investments in September 1992 to April 2019
Senior Financial Advisor at Charles Schwab in September 1987 to September 1992
Financial Advisor at Prudential-Bache, Inc. in January 1987 to September 1987
Junior Financial Advisor at Kidder Peabody in May 1985 to December 1986
Operations Manager at E.F. Hutton & Co. Inc. in February 1982 to May 1985
Editorial Assistant at Simon & Schuster in January 1980 to January 1982
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Miami University, Bachelor of Arts (B.A.), Creative Writing, January 1975 to January 1979
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KYC Verification
Writing
Research Skills
Multitasking
Conflict Of Interest
Anti-Money Laundering
Credit Unions
Corrective Actions
Accounting
Interpersonal Skills
Data Privacy
FINRA
Compliance Consulting
Compliance Regulations
Regulatory Compliance
Client Relations
Wealth Management Services
Team Leadership
Office Procedures
Microsoft PowerPoint
Microsoft Outlook
Microsoft Office
Microsoft Excel
Investigative Research
Interviewing
Analytical Skills
Sales Operations
Office Administration
Policy Writing
Financial Planning
Youth Development
Investments
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Discover more about LPL FinancialWhat is Jim Waters email address?
Email Jim Waters at [email protected]. This email is the most updated Jim Waters's email found in 2026.
How to contact Jim Waters?
To contact Jim Waters send an email to [email protected].
What company does Jim Waters work for?
Jim Waters works for LPL Financial
What is Jim Waters's role at LPL Financial?
Jim Waters is Branch Examiner
What is Jim Waters's Phone Number?
Jim Waters's phone (216) ***-*176
What industry does Jim Waters work in?
Jim Waters works in the Financial Services industry.
Jim Waters Email Addresses
Jim Waters Phone Numbers
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