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JW

John A. Waldock

Some features on this profile are disabled
CRD#: 2995364
JW

Professional summary

John Allan Waldock JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, John had worked at 4 firms, which includes EIDE BAILLY SECURITIES LLC, LAZARD MIDDLE MARKET LLC, GOLDSMITH AGIO HELMS SECURITIES INC., LABRANCHE & CO. LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 11, 2012 - November 20, 2012

EIDE BAILLY SECURITIES, LLC

BD
CRD#: 112176
FARGO, ND
Past

June 19, 2008 - January 24, 2012

LAZARD MIDDLE MARKET LLC

BD
CRD#: 146092
MINNEAPOLIS, MN
Past

May 2, 2008 - July 23, 2008

GOLDSMITH, AGIO, HELMS SECURITIES, INC.

BD
CRD#: 26100
MINNEAPOLIS, MN
Past

June 11, 2002 - April 23, 2003

LABRANCHE & CO. LLC

BD
CRD#: 32661
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/10/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/1/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 25
Date: 10/4/2002
NYSE Trading Assistant Examination

Current Firm

EB
EIDE BAILLY SECURITIES, LLC
EIDE BAILLY SECURITIES, LLC | LEGACY BUILDERS SECURITIES, LLC

CRD#: 112176 / SEC#: , 8-53238

BD
Terminated by SEC on 04/26/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
South Dakota since 09/27/2000
Firm type
Limited Liability Company
Fiscal year end
April
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
EIDE BAILLY FINANCIAL SERVICES, LLCDIRECT OWNER
FLODEN, JILL NAOMICHIEF COMPLIANCE OFFICER AND AMLCO4361451
KELLEY, BRADLEY MARKCEO2206247
WILSON, KARLA RAECFO, POO, PRINCIPAL FINANCIAL OPERATING OFFICER AND FINANCIAL PRINCIPAL4821044

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

EIDE BAILLY SECURITIES, LLC

CRD#: 112176

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