Timothy M. Waldron
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.
Timothy Michael Waldron was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1999. Timothy had worked at 4 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2014 - May 10, 2016
GUGGENHEIM INVESTMENTS
September 30, 2013 - May 10, 2016
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
September 12, 2005 - August 5, 2009
MORGAN STANLEY & CO. LLC
April 26, 1999 - October 4, 2005
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
GUGGENHEIM INVESTMENTS
CRD#: 105477 / SEC#: 801-8008
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
GUGGENHEIM INVESTMENTS
CRD#: 105477 / SEC#: 801-8008
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 113 |
| AUM (Assets Under Management) | $ 7,395,263,411 |
Red Flags
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