Gregory P. Waldon
Professional summary
Gregory Phillip Waldon was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregory is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Gregory had worked at 8 firms, which includes MUTUAL SERVICE CORPORATION, MUTUAL SECURITIES INC., FASCO INTERNATIONAL INC., LEGACY FINANCIAL SERVICES INC., TRANSAMERICA FINANCIAL ADVISORS INC., SUNSET FINANCIAL SERVICES INC., FIRST AFFILIATED SECURITIES, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2001 - February 15, 2002
MUTUAL SERVICE CORPORATION
May 21, 2001 - September 26, 2001
MUTUAL SECURITIES, INC.
March 17, 1998 - June 4, 2001
FASCO INTERNATIONAL, INC.
March 1, 1996 - March 17, 1998
LEGACY FINANCIAL SERVICES, INC.
July 11, 1994 - December 31, 1995
TRANSAMERICA FINANCIAL ADVISORS, INC.
August 11, 1993 - July 6, 1994
SUNSET FINANCIAL SERVICES, INC.
March 6, 1992 - August 17, 1993
FIRST AFFILIATED SECURITIES
January 2, 1983 - February 13, 1991
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
MUTUAL SERVICE CORPORATION
CRD#: 4806 / SEC#: , 8-15313
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP LLC | PARENT COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR/SECRETARY | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER/CHAIRMAN/DIRECTOR | 1821773 |
| MITCHELL, CHRISTOPHER MILLS | CFO/FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 17 |
Red Flags
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