Marilyn K Hajek
Professional Summary
Marilyn K Hajek, who also goes by Kim Oates, Marilyn Kimberly Oates, is a registered financial advisor currently at WATERFORD CAPITAL, INC. located in Addison, Texas. Marilyn is registered as a RR (Registered Representative) and started their career in finance in 1997. Marilyn has worked at 7 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 4, Series 24, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kim Oates, Marilyn Kimberly Oates
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
DAVID P. O'CONNOR | WATERFORD CAPITAL, INC.
Contact Information
Main Address
14275 Midway Road Suite 138, Addison, TX 75001Mailing Address
14275 Midway Road Suite 138, Addison, TX 75001Phone Number
(214) 363-6920Established
Texas since 11/30/1987Firm Type
CorporationFiscal Year End
NovemberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
2Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(1/11/2023)
(3/19/2007)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Mar 2002Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jul 2000About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jul 2000About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Marilyn K Hajek's CRS (Customer Relationship Summary).
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