Felix R. Muniz
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.
Felix Ramon Muniz JR., who also goes by Felix R Muniz Jr, Felix R Muniz, Felix Ramon Muniz Jr, Felix Ramon Muniz Jr., was a registered financial professional .
Felix is a previously registered financial professional and started their career in finance in 1991. Felix had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 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
January 2, 2014 - October 27, 2015
WADDELL & REED
January 2, 2014 - October 26, 2015
WADDELL & REED
January 23, 2009 - December 20, 2013
MSI FINANCIAL SERVICES, INC.
December 18, 2008 - December 20, 2013
MSI FINANCIAL SERVICES, INC.
March 9, 2005 - November 26, 2008
NYLIFE SECURITIES LLC
October 28, 1999 - February 15, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
October 20, 1999 - February 15, 2005
IDS LIFE INSURANCE COMPANY
October 20, 1999 - February 15, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
March 23, 1999 - October 15, 1999
CONSECO SECURITIES, INC.
April 19, 1993 - October 30, 1993
RODMAN & RENSHAW INC.
February 18, 1992 - May 4, 1993
HAMILTON INVESTMENTS, INC.
April 11, 1991 - December 17, 1991
CHATFIELD DEAN & CO., 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
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.
