Richard A. Waldrep
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.
Richard Alfred Waldrep, who also goes by Dick Waldrep, Dick Waldrep, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - December 31, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 2, 2018 - December 31, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 1, 2012 - January 2, 2018
ADVANTAGE INVESTMENT MANAGEMENT, LLC
July 31, 2012 - December 31, 2017
LPL FINANCIAL LLC
June 18, 2004 - July 31, 2012
NATIONAL PLANNING CORPORATION
June 15, 2004 - July 31, 2012
NATIONAL PLANNING CORPORATION
February 25, 2004 - June 16, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 20, 2004 - June 16, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 7, 2000 - February 20, 2004
FSC SECURITIES CORPORATION
August 18, 2000 - September 19, 2000
NATIONAL PLANNING CORPORATION
June 1, 1996 - July 18, 1996
WALNUT STREET SECURITIES, INC.
October 6, 1995 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
August 7, 1995 - August 18, 2000
FSC SECURITIES CORPORATION
October 21, 1991 - January 20, 1993
1717 CAPITAL MANAGEMENT COMPANY
October 10, 1991 - September 20, 1995
AMERICAN CAPITAL CORPORATION
August 31, 1990 - October 25, 1991
VOYA FINANCIAL ADVISORS, INC.
November 29, 1988 - August 24, 1995
NORTH AMERICAN MANAGEMENT, INC.
November 28, 1988 - August 28, 1990
AMERICAN CAPITAL CORPORATION
June 13, 1985 - December 13, 1988
PW SECURITIES, INC.
January 1, 1984 - July 12, 1985
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
