Kevin E. Waldeck
Professional summary
Kevin Eugene Waldeck, who also goes by Kevin Waldeck, Kevin Eugene Waldeck, is a registered financial professional currently at INVESCO DISTRIBUTORS, INC. located in New York, New York.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1987. Kevin has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin Eugene Waldeck's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 5, 2023 - Present
INVESCO DISTRIBUTORS, INC.
Office #1: 225 Liberty St 11th Floor, New York, NY 10281September 30, 2010 - April 5, 2023
MORGAN STANLEY DISTRIBUTION, INC.
January 4, 2010 - September 13, 2010
ALLSPRING FUNDS DISTRIBUTOR, LLC
January 12, 2005 - January 4, 2010
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
October 2, 1997 - November 29, 2004
SEI INVESTMENTS DISTRIBUTION CO.
June 27, 1997 - September 9, 1997
WELLS FARGO SECURITIES INC.
April 21, 1993 - April 14, 1997
STEPHENS
October 29, 1990 - April 5, 1993
PHOENIX SECURITIES, INC.
June 12, 1990 - March 18, 1993
CAI SECURITIES CORPORATION
February 6, 1990 - April 4, 1990
AGS SECURITIES CORPORATION
February 9, 1988 - December 20, 1989
PSI SECURITIES CORPORATION
October 20, 1987 - February 27, 1988
FORESTERS 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
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Exams
FINRA
Current Firm
INVESCO DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 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.
