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MH

Marilyn K. Hajek

WATERFORD CAPITAL
Addison, TX 75001
Some features on this profile are disabled
CRD#: 2863706
MH

Professional summary

Marilyn K Hajek, who also goes by Kim Oates, Marilyn Kimberly Oates, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kim Oates | Marilyn Kimberly Oates

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marilyn K Hajek's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 19, 2007 - Present

WATERFORD CAPITAL, INC.

Office #1: 14275 Midway Road Suite 138, Addison, TX 75001
BD
CRD#: 21687
Addison, TX
Past

July 29, 2005 - February 28, 2007

BROWN BROTHERS HARRIMAN & CO.

BD
CRD#: 104487
DALLAS, TX
Past

February 15, 2002 - February 20, 2007

BALDWIN ANTHONY SECURITIES, INC.

BD
CRD#: 45108
DALLAS, TX
Past

August 12, 2000 - July 18, 2001

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

October 20, 1998 - August 14, 2000

J.C. BRADFORD & CO.

BD
CRD#: 1287
NEW YORK, NY
Past

May 11, 1998 - June 12, 1998

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

July 24, 1997 - May 11, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

BD
CRD#: 260
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/11/2023)
RR
Texas
(3/19/2007)

Exams

State Security Law Exam
RR
Series 63
Date: 4/16/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/25/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/29/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/3/2007
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/2/2005
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/21/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/7/2000
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

WC
WATERFORD CAPITAL, INC.
DAVID P. O'CONNOR | WATERFORD CAPITAL, INC.

CRD#: 21687 / SEC#: , 8-39210

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
14275 Midway Road Suite 138, Addison, TX 75001
Mailing Address
14275 Midway Road Suite 138, Addison, TX 75001
Phone number
(214) 363-6920
Established
Texas since 11/30/1987
Firm type
Corporation
Fiscal year end
November
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OCONNOR, DAVID PATRICKPRESIDENT, FINOP,CCO2143494
HAJEK, MARILYN KOFFICE MANAGER, SROP, CROP2863706

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

WATERFORD CAPITAL, INC.

CRD#: 21687Addison, TX 75001

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