Denise R. Waddell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Denise Rae Waddell, who also goes by Denise R Smith, Denise R Waddell, Denise Smith Waddell, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 1982. Denise had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2015 - December 23, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 6, 2015 - December 23, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 17, 2007 - December 11, 2007
MSI FINANCIAL SERVICES, INC.
September 27, 2006 - January 18, 2007
J.P. MORGAN SECURITIES INC.
July 1, 2006 - January 18, 2007
J.P. MORGAN SECURITIES INC.
September 21, 2005 - September 27, 2006
BANC ONE SECURITIES CORPORATION
September 20, 2005 - July 1, 2006
BANC ONE SECURITIES CORPORATION
May 8, 2000 - December 3, 2004
FUNDS DISTRIBUTOR, LLC
September 9, 1996 - May 3, 2000
LPM INVESTMENT SERVICES, INC
April 18, 1994 - December 20, 1996
NATIXIS DISTRIBUTION, LLC
March 30, 1993 - April 18, 1994
NEW ENGLAND SECURITIES
January 20, 1982 - November 20, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 1/26/1982
Interest Rate Options ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
