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RODNEY CLARK WATERBURY
ROD C WATERBURY
CRD#: 2557113
IA
Investment Adviser
B
Broker
CAPTRUSTCRD#: 175112 1410 Rocky Ridge Drive, Suite 150
Roseville, CA 95661
CAPFINANCIAL SECURITIES, LLC.CRD#: 126291 740 University Avenue
Sacramento, CA 95825
Registration History
19952000200520102015202020252 FIRMS2005 - 2009 (4 years)2 FIRMS2009 - 2017 (7 years)2 FIRMS2017 - 2021 (3 years)2 FIRMS2021 - Present (4 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1995 - 2001 (6 years)
License(s)

State Registrations

B
Arizona 2/18/2021

B
New Jersey 2/18/2021

IA
California 1/25/2021

B
Oregon 2/18/2021

B
California 1/29/2021

IA
Texas 1/25/2021

B
Colorado 2/18/2021

B
Texas 2/18/2021

B
Florida 2/18/2021

B
Washington 2/18/2021

B
Nevada 2/18/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAPTRUST (CRD#:175112)
1410 Rocky Ridge Drive, Suite 150, Roseville, CA 95661
Registered with this firm since 1/25/2021

B
CAPFINANCIAL SECURITIES, LLC. (CRD#:126291)
740 University Avenue, Sacramento, CA 95825
1410 Rocky Ridge Drive, Suite 150, Roseville, CA 95661
Registered with this firm since 1/29/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/22/2017 - 03/31/2021 GENOVESE BURFORD & BROTHERS WEALTH AND RETIREMENT PLAN MGMT, LLC (CRD#:105698) Roseville, CA
B
09/15/2017 - 02/09/2021 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) ROSEVILLE, CA
IA
10/27/2009 - 10/09/2017 PLACER SUMMIT FINANCIAL GROUP, LLC (CRD#:149750) ROSEVILLE, CA
B
10/16/2009 - 09/25/2017 LPL FINANCIAL LLC (CRD#:6413) ROSEVILLE, CA
IA
07/05/2005 - 10/27/2009 CHARLES SCHWAB & CO., INC. (CRD#:5393) ROSEVILLE, CA
B
04/27/2005 - 10/27/2009 CHARLES SCHWAB & CO., INC. (CRD#:5393) ROSEVILLE, CA
B
04/05/1995 - 08/29/2001 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.