Waldith G. Thompson
Professional summary
Waldith George Thompson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Waldith is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Waldith had worked at 1 firm, which includes 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
March 29, 1994 - December 20, 1996
GUARDIAN INVESTOR SERVICES LLC
State Registrations and Notice Filings
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Exams
Current Firm
GUARDIAN INVESTOR SERVICES LLC
CRD#: 6635 / SEC#: 801-9654, 8-14108
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | OWNER | |
| BESSEL, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER, ADVISER | 2963742 |
| CEFOLE, MICHAEL B | PRESIDENT & LLC MANAGER | 2720073 |
| FERIK, MICHAEL NICHOLAS | LLC MANAGER | 4994941 |
| POTTER, RICHARD THOMAS JR | SR. VICE PRESIDENT & COUNSEL | 1469205 |
| SENKER, LINDA ELLEN | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 1980001 |
| SHALLOW, KURT JOSEPH | V.P., RISK PRODUCTS DISTRIBUTION | 1650106 |
| SORELL, THOMAS GEORGE | CHIEF INVESTMENT OFFICER | 1020936 |
| SULLIVAN, DONALD PAUL JR | LLC MANAGER | 1022281 |
| WALTER, JOHN H. | SR. VP & CONTROLLER | 2358945 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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