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Detailed Report
TIMOTHY OWINGS WATERS
CRD#: 3083977
IA
Investment Adviser
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Previous Broker
TRIUMPH CAPITAL MANAGEMENTCRD#: 282814 1610 WYNKOOP STREET, SUITE 550
DENVER, CO 80202
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2015 - 2020 (4 years)2 FIRMS2006 - 2006 (<1 year)2 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - 2008 (1 year)2 FIRMS2012 - 2015 (3 years)IATRIUMPH CAPITAL MANAGEMENT (CRD# 282814)2016 - Present (9 years)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2019 - 2020 (<1 year)BSUMMIT BROKERAGE SERVICES, INC. (CRD# 34643)2015 - 2019 (4 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2008 - 2012 (4 years)BAXA ADVISORS, LLC (CRD# 6627)2003 - 2006 (2 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)2002 - 2003 (1 year)IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2009 - 2012 (3 years)IARAYMOND JAMES FINANCIAL SERVICES (CRD# 6694)2008 - 2009 (<1 year)
Disclosure(s)
View By:
3/6/1997
Criminal
Final Disposition
License(s)

State Registrations

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Colorado 2/19/2016
Current Registration(s)
IA
TRIUMPH CAPITAL MANAGEMENT (CRD#:282814)
1610 WYNKOOP STREET, SUITE 550, DENVER, CO 80202
Registered with this firm since 2/19/2016
Previous Registration(s)
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 10/30/2015 - 02/10/2020 SUMMIT FINANCIAL GROUP INC (CRD#:109485) Denver, CO
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 10/06/2015 - 02/10/2020 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) Denver, CO
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 09/20/2019 - 02/10/2020 CETERA ADVISOR NETWORKS LLC (CRD#:13572) Denver, CO
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 09/01/2015 - 09/20/2019 SUMMIT BROKERAGE SERVICES, INC. (CRD#:34643) Denver, CO
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 08/10/2012 - 11/13/2015 J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC (CRD#:124446) DENVER, CO
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 08/10/2012 - 09/29/2015 J.P. TURNER & COMPANY, L.L.C. (CRD#:43177) DENVER, CO
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 01/02/2009 - 08/14/2012 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) DENVER, CO
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 07/28/2008 - 08/14/2012 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) DENVER, CO
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 08/01/2008 - 01/02/2009 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) DENVER, CO
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 01/10/2007 - 08/01/2008 AXA ADVISORS, LLC (CRD#:6627) DENVER, CO
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 01/10/2007 - 08/01/2008 AXA ADVISORS, LLC (CRD#:6627) DENVER, CO
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 08/12/2006 - 01/11/2007 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) DENVER, CO
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 08/12/2006 - 01/11/2007 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) DENVER, CO
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 04/24/2006 - 08/12/2006 INVEST FINANCIAL CORPORATION (CRD#:12984) DENVER, CO
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 01/13/2006 - 08/12/2006 INVEST FINANCIAL CORPORATION (CRD#:12984) DENVER, CO
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 06/26/2003 - 01/13/2006 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
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 01/31/2002 - 05/12/2003 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.