Gary E. 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.
Gary Edward Waddell was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1991. Gary had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2014 - February 2, 2016
QUESTAR CAPITAL CORPORATION
November 22, 2013 - July 23, 2014
NATIONAL SECURITIES CORPORATION
September 28, 2012 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
July 29, 2009 - October 1, 2012
QUESTAR CAPITAL CORPORATION
April 25, 2007 - December 26, 2008
LIVINGSTON MONROE CAPITAL GROUP INC.
October 13, 2006 - March 23, 2007
G.T. JEFFERS & COMPANY, LLC
November 19, 1996 - October 8, 2004
METROPOLITAN LIFE INSURANCE COMPANY
November 19, 1996 - October 8, 2004
MSI FINANCIAL SERVICES, INC.
February 15, 1996 - September 30, 1996
NYLIFE SECURITIES LLC
April 12, 1994 - February 8, 1996
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 7, 1991 - October 8, 1993
METROPOLITAN LIFE INSURANCE COMPANY
March 7, 1991 - October 8, 1993
MSI FINANCIAL SERVICES, 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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
