MW
Michael B. Whealdon
WATERS, PARKERSON & CO.
New Orleans, LA 70130-6013
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CRD#: 1277324
MW
Professional summary
Michael Burton Whealdon is a registered financial advisor currently at WATERS, PARKERSON & CO., INC. located in New Orleans, Louisiana.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Michael has worked at 1 firm and has passed the Series 65, Series 63, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Burton Whealdon's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 14, 1991 - Present
WATERS, PARKERSON & CO., INC.
Office #1: 601 Poydras Street Suite 2210, New Orleans, LA 70130-6013RIA
CRD#: 3711
New Orleans, LA
Past
August 30, 1984 - December 31, 2007
WATERS, PARKERSON & CO., INC.
BD
CRD#: 3711
NEW ORLEANS, LA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WATERS, PARKERSON & CO., INC.
WATERS PARKERSON & CO INC. | WATERS, PARKERSON & CO., LLC | WATERS, PARKERSON & CO., INC. | WATERS, PARKERSON & CO INC.
CRD#: 3711 / SEC#: 801-8754, 8-17208
RIA
Registered Investment Advisory firm - SEC (6/29/1972 Approved)BD
Terminated by SEC on 02/04/2008
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Louisiana(12/5/2003)
IAR
Texas(5/14/1991)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 55
Date: 4/25/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
WATERS, PARKERSON & CO., INC.
WATERS PARKERSON & CO INC. | WATERS, PARKERSON & CO., LLC | WATERS, PARKERSON & CO., INC. | WATERS, PARKERSON & CO INC.
CRD#: 3711 / SEC#: 801-8754, 8-17208
RIA
Registered Investment Advisory firm - SEC (6/29/1972 Approved)BD
Terminated by SEC on 02/04/2008
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Contact information
Main Address
601 Poydras Street Suite 2210, New Orleans, LA 70130-6013
Mailing Address
Phone number
(504) 581-2022
Established
Louisiana since 05/29/1972
Firm type
Corporation
Fiscal year end
December
# of Employees
12
SEC notice filing (14 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| POINTER, DAVID TAYLOR | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1044827 |
| WHEALDON, MICHAEL BURTON | EXECUTIVE VICE-PRESIDENT, SECRETARY/TREASURER | 1277324 |
| CRUIKSHANK, WILLIAM EDWARD | COMPTROLLER | 1778322 |
| GRISWOLD, GEORGE II | CHAIRMAN | 230473 |
| BURLINGAME, JULIA WATERS | OPERATIONS MANAGER | 1819993 |
| CASAMENTO, STEPHEN JOSEPH | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 42472 |
Regulatory assets under management
| Total Number of Accounts | 1,898 |
| AUM (Assets Under Management) | $ 2,685,703,913 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 07/25/2023 | ||
| 10/26/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WATERS, PARKERSON & CO., INC.
CRD#: 3711New Orleans, LA 70130-6013TRUST BUT VERIFY
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