Kenneth R. Waldt
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.
Kenneth R Waldt, who also goes by Kenneth Ray Waldt, Kenny Waldt, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1982. Kenneth had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2018 - February 10, 2020
FROST INVESTMENT SERVICES
June 6, 2017 - February 10, 2020
FROST BROKERAGE SERVICES, INC.
August 31, 2000 - May 19, 2016
FROST BROKERAGE SERVICES, INC.
January 1, 1996 - August 30, 2000
LOCUST STREET SECURITIES, INC.
April 23, 1991 - January 1, 1996
OLD SLIP CAPITAL MANAGEMENT, INC.
August 17, 1990 - April 2, 1991
FIDELITY EQUITY SERVICES CORPORATION
April 3, 1989 - September 7, 1990
SECURITIES AMERICA, INC.
March 14, 1988 - April 3, 1989
H. KERR TAYLOR & COMPANY, INC.
May 29, 1986 - March 10, 1988
OLD SLIP CAPITAL MANAGEMENT, INC.
October 22, 1982 - February 3, 1987
WOODBURY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
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
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
