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DANIEL KEITH WATERS
CRD#: 5182710
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 265 BROOKVIEW CENTRE WAY
STE 100
KNOXVILLE, TN 37919
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2008 (1 year)2 FIRMS2008 - Present (17 years)
License(s)

State Registrations

B
Alabama 11/30/2011

B
Missouri 11/30/2011

B
Alaska 2/13/2020

B
New Jersey 11/30/2011

B
Arizona 1/7/2014

B
New Mexico 8/21/2024

B
Arkansas 5/1/2018

B
New York 8/9/2016

B
California 1/18/2023

B
North Carolina 12/1/2011

B
Colorado 11/30/2011

B
Ohio 1/1/2008

B
Connecticut 9/13/2023

B
Oklahoma 7/14/2009

B
Delaware 9/13/2023

B
Oregon 1/18/2023

B
District of Columbia 1/18/2023

B
Pennsylvania 11/30/2011

B
Florida 1/1/2008

B
South Carolina 10/26/2011

B
Georgia 11/30/2011

B
Tennessee 1/1/2008

B
Illinois 11/30/2011

IA
Tennessee 1/1/2008

B
Indiana 11/9/2017

B
Texas 1/8/2014

B
Kansas 7/10/2014

IA
Texas 1/8/2014

B
Kentucky 11/30/2011

B
Utah 1/18/2023

B
Louisiana 8/21/2024

B
Vermont 5/4/2015

B
Maryland 1/18/2023

B
Virgin Islands 1/9/2024

B
Massachusetts 9/19/2012

B
Virginia 11/30/2011

B
Michigan 11/30/2011

B
Washington 1/18/2023

B
Minnesota 1/18/2023

B
West Virginia 1/18/2023

B
Mississippi 1/9/2024

B
Wisconsin 1/18/2023

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
265 BROOKVIEW CENTRE WAY STE 100, KNOXVILLE, TN 37919
Registered with this firm since 1/1/2008

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
265 BROOKVIEW CENTRE WAY STE 100, KNOXVILLE, TN 37919
Registered with this firm since 1/1/2008

Previous Registration(s)
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B
09/04/2006 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) KNOXVILLE, TN
IA
09/18/2006 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) KNOXVILLE, TN
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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.