Waidor C. Procter
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.
Waidor Chiu Procter, who also goes by Wai Dor Chiu Procter, Wai Procter, was a registered financial professional .
Waidor is a previously registered financial professional and started their career in finance in 1990. Waidor had worked at 5 firms and has passed the Series 63, SIE 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
August 19, 2009 - December 31, 2022
CAPE SECURITIES INC.
November 12, 1998 - August 20, 2009
AURA FINANCIAL SERVICES, INC.
January 1, 1998 - November 12, 1998
STERNE, AGEE & LEACH, INC.
September 12, 1990 - December 10, 1997
A. G. EDWARDS & SONS, INC.
April 25, 1990 - September 25, 1990
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
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| 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.
