WATERSTONE FINANCIAL ADVISORY LLC
CRD #325012 SEC #801-127693 FORT MYERS, FL 239-288-0977
SEC Registered
Total AUM
$225.6M
Discretionary
$223M
Employees
5
Clients
26
Accounts
901
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Florida
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 15, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| MOORE, KARLY, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MOORE, KARLY, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MOORE, KARLY, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MOORE, KARLY, ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| McGrath, Phillip, Taylor | I | CHIEF COMPLIANCE OFFICER & DIRECTOR OF OPERATIONS | NA | |
| McGrath, Phillip, Taylor | I | CHIEF COMPLIANCE OFFICER & DIRECTOR OF OPERATIONS | NA | |
| Young, Karly | I | CHIEF COMPLIANCE OFFICER | NA | |
| Young, Karly | I | CHIEF COMPLIANCE OFFICER | NA | |
| Young, Karly | I | CHIEF COMPLIANCE OFFICER | NA | |
| Young, Karly | I | CHIEF COMPLIANCE OFFICER | NA | |
| Young, Karly | I | CHIEF COMPLIANCE OFFICER | NA | |
| GALLAGHER, JAMES, S | I | PRESIDENT & CCO | E | Control |
| GALLAGHER, JAMES, S | I | PRESIDENT & CCO | E | Control |
| GALLAGHER, JAMES, S | I | PRESIDENT & CCO | E | Control |
| GALLAGHER, JAMES, S | I | PRESIDENT & CCO | E | Control |
| GALLAGHER, JAMES, S | I | PRESIDENT & CCO | E | Control |
| GALLAGHER, JAMES, S | I | PRESIDENT & CCO | E | Control |
| GALLAGHER, JAMES, S | I | PRESIDENT & CCO | E | Control |
| GALLAGHER, JAMES, STUART | I | PRESIDENT | E | Control |
| GALLAGHER, JAMES, STUART | I | PRESIDENT | E | Control |
| GALLAGHER, JAMES, STUART | I | PRESIDENT | E | Control |
| GALLAGHER, JAMES, STUART | I | PRESIDENT | E | Control |
| GALLAGHER, JAMES, STUART | I | PRESIDENT | E | Control |
| GALLAGHER, JAMES, STUART | I | PRESIDENT | E | Control |
| GALLAGHER, JAMES, STUART | I | PRESIDENT | E | Control |
| GALLAGHER, JAMES, STUART | I | PRESIDENT | E | Control |
| GALLAGHER, JAMES, STUART | I | PRESIDENT | E | Control |
| GALLAGHER, JAMES, STUART | I | PRESIDENT | E | Control |
| GALLAGHER, JAMES, STUART | I | PRESIDENT | E | Control |
Registrations
Federal
IA
Jul 15, 2025 REGISTERED
Notice Filings (9)
CA FL IL MI NH OH PA TN TX
Address
12597 NEW BRITTANY BLVDFORT MYERS, FL 33907
United States
Phone: 239-288-0977