Stephen S. 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.
Stephen Spencer Waddell, who also goes by Steve Waddell, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2009 - February 4, 2019
FRANKLIN DISTRIBUTORS, LLC
March 19, 2002 - February 4, 2019
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC
April 9, 2001 - March 26, 2002
FUNDS DISTRIBUTOR, LLC
October 23, 1997 - April 9, 2001
UAM FUND DISTRIBUTORS, INC.
June 18, 1992 - January 10, 1996
ABN AMRO SECURITIES LLC
January 30, 1992 - June 22, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 9, 1989 - December 31, 1991
CIGNA CAPITAL BROKERAGE, INC.
July 11, 1986 - June 27, 1989
CARILLON INVESTMENTS, INC.
May 23, 1984 - December 14, 1984
E. F. HUTTON & COMPANY INC
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
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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