Jerrold R. Angel
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.
Jerrold Roger Angel, who also goes by Jerry Angel, was a registered financial professional .
Jerrold is a previously registered financial professional and started their career in finance in 1986. Jerrold had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2016 - April 24, 2017
WADDELL & REED
October 24, 2016 - April 24, 2017
WADDELL & REED
May 13, 2016 - November 5, 2016
SIGNATOR INVESTORS, INC.
May 13, 2016 - November 5, 2016
SIGNATOR INVESTORS, INC.
January 24, 1997 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 14, 1997 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 8, 1994 - December 31, 1996
SUNAMERICA SECURITIES, INC.
January 19, 1994 - November 8, 1994
OSAIC WEALTH, INC.
February 23, 1993 - January 21, 1994
CALTON & ASSOCIATES, INC.
June 16, 1992 - September 17, 1992
FSC SECURITIES CORPORATION
July 23, 1990 - December 5, 1990
PCI FINANCIAL SERVICES, INC.
September 29, 1987 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
March 5, 1986 - October 30, 1987
THE STUART-JAMES COMPANY, INCORPORATED
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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
