• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Katherine Farias Waters
KATHERINE E FARIAS
CRD#: 5594519
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 STATESVILLE, NC
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 Statesville, NC
Registration History
20082010201220142016201820202022202420262 FIRMS2013 - 2015 (2 years)2 FIRMS2015 - Present (9 years)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2020 - Present (4 years)BVANGUARD MARKETING CORPORATION (CRD# 7452)2008 - 2012 (3 years)
License(s)

State Registrations

B
Florida 8/19/2015

IA
North Carolina 11/3/2015

B
North Carolina 8/20/2015

SRO Registrations

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)
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
Statesville, NC
Registered with this firm since 4/24/2020

IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
STATESVILLE, NC
Registered with this firm since 11/3/2015

B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
Stateville, NC
Registered with this firm since 8/19/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/24/2013 - 07/15/2015 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) ST. PETERSBURG, FL
B
03/25/2013 - 07/15/2015 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) ST. PETERSBURG, FL
B
10/06/2008 - 08/09/2012 VANGUARD MARKETING CORPORATION (CRD#:7452) CHARLOTTE, NC
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.