Nicholas E. Waldron
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.
Nicholas Ethan Waldron was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1983. Nicholas had worked at 5 firms and has passed the Series 63, Series 3, Series 7 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
August 2, 2012 - September 3, 2013
SCF SECURITIES, INC.
January 21, 2010 - August 3, 2012
BROKERSXPRESS LLC
January 21, 2010 - August 3, 2012
BROKERSXPRESS LLC
January 2, 2009 - December 24, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 22, 2003 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 3, 2002 - December 24, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 14, 1993 - October 8, 2002
MORGAN STANLEY DW INC.
December 19, 1983 - October 8, 2002
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SCF SECURITIES, INC.
CRD#: 47275 / SEC#: , 8-51760
Contact information
FINRA licenses (5 States and Territories)
Documents
Red Flags
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