Jimmy E. Waggoner
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.
Jimmy Edward Waggoner, who also goes by Jimmy E Waggoner, was a registered financial professional .
Jimmy is a previously registered financial professional and started their career in finance in 1993. Jimmy had worked at 5 firms and has passed the Series 63, SIE 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
July 11, 2022 - May 2, 2024
PURSHE KAPLAN STERLING INVESTMENTS
October 1, 2013 - June 29, 2022
LPL FINANCIAL LLC
September 4, 2009 - October 1, 2013
SECURIAN FINANCIAL SERVICES, INC.
November 27, 2000 - September 2, 2009
PRINCIPAL SECURITIES, INC.
September 8, 1999 - November 14, 2000
LOCUST STREET SECURITIES, INC.
April 18, 1999 - September 10, 1999
PRINCIPAL SECURITIES, INC.
June 2, 1993 - November 5, 1998
PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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