Darrell R. Baldwin
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.
Darrell Reed Baldwin, who also goes by Darrell Baldwin, was a registered financial professional .
Darrell is a previously registered financial professional and started their career in finance in 1988. Darrell had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2011 - July 5, 2018
WADDELL & REED
June 15, 2011 - July 5, 2018
WADDELL & REED
June 1, 2009 - July 5, 2011
MORGAN STANLEY
June 1, 2009 - July 5, 2011
MORGAN STANLEY
July 1, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 1, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 12, 2006 - July 7, 2008
UBS FINANCIAL SERVICES INC.
August 12, 2006 - July 7, 2008
UBS FINANCIAL SERVICES INC.
November 13, 2003 - August 12, 2006
PIPER SANDLER & CO.
November 25, 1997 - August 12, 2006
PIPER SANDLER & CO.
July 3, 1995 - December 1, 1997
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 20, 1988 - August 1, 1995
PIPER SANDLER & CO.
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.
