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Carl D. Waites

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CRD#: 1277702
CW

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.

Carl Dennis Waites was a registered financial professional .

Carl is a previously registered financial professional and started their career in finance in 1984. Carl had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 24, 2013 - October 10, 2017

HIDDEN OAKS INVESTMENTS LLC

RIA
CRD#: 165409
BARTLETT, TN
Past

October 3, 2007 - January 4, 2013

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
MEMPHIS, TN
Past

September 27, 2007 - January 4, 2013

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
MEMPHIS, TN
Past

July 20, 2001 - October 5, 2007

STEPHENS

RIA
CRD#: 3496
MEMPHIS, TN
Past

June 5, 2001 - October 5, 2007

STEPHENS

BD
CRD#: 3496
MEMPHIS, TN
Past

August 14, 2000 - June 25, 2001

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

March 23, 1998 - August 14, 2000

J.C. BRADFORD & CO.

BD
CRD#: 1287
NEW YORK, NY
Past

September 25, 1996 - April 3, 1998

THE ROBINSON-HUMPHREY COMPANY, LLC

BD
CRD#: 723
ATLANTA, GA
Past

July 31, 1993 - October 8, 1996

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 13, 1989 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

May 27, 1986 - October 21, 1989

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 2, 1985 - July 1, 1986

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
Past

June 22, 1984 - June 13, 1985

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/15/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/12/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 10/23/1984
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/21/1984
Investment Company Products/Variable Contracts Representative Examination

Current Firm

HO
HIDDEN OAKS INVESTMENTS LLC
HIDDEN OAKS INVESTMENTS LLC

CRD#: 165409 / SEC#:

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Contact information

Main Address
Bartlett, TN
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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.

Company Information

HIDDEN OAKS INVESTMENTS LLC

CRD#: 165409

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