Dennis D. Waldrep
Professional summary
Dennis Dale Waldrep was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dennis is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Dennis had worked at 6 firms, which includes MUTUAL TRUST ASSET MGMT. INC., MUTUAL TRUST COMPANY OF AMERICA SECURITIES, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., PARK AVENUE SECURITIES LLC, GUARDIAN INVESTOR SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2006 - October 21, 2013
MUTUAL TRUST ASSET MGMT., INC.
January 2, 2003 - October 18, 2013
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
August 31, 2000 - April 3, 2002
METROPOLITAN LIFE INSURANCE COMPANY
August 31, 2000 - April 3, 2002
MSI FINANCIAL SERVICES, INC.
May 3, 1999 - September 22, 2000
PARK AVENUE SECURITIES LLC
August 1, 1994 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
Primary Firm SEC Registration
MUTUAL TRUST ASSET MGMT., INC.
CRD#: 121364 / SEC#: 801-111062
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
MUTUAL TRUST ASSET MGMT., INC.
CRD#: 121364 / SEC#: 801-111062
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 92 |
| AUM (Assets Under Management) | $ 57,396,568 |
Red Flags
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