Andrew C. Waddell
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.
Andrew Cleland Waddell, who also goes by Drew Cleland Waddell, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1999. Andrew had worked at 8 firms and has passed the Series 63, Series 65, Series 66, Series 99TO, SIE, Series 7, Series 14, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2018 - February 22, 2022
ATEL SECURITIES CORPORATION
March 16, 2017 - April 30, 2018
SALIENT CAPITAL L.P.
December 4, 2015 - April 30, 2018
FORWARD MANAGEMENT, LLC
October 27, 2015 - April 30, 2018
FORWARD SECURITIES, LLC
November 1, 2011 - November 3, 2015
XAMBALA CAPITAL, LLC
April 23, 2010 - November 3, 2015
XAMBALA ASSET MANAGEMENT, LLC
August 11, 2000 - July 17, 2002
ROBERTSON STEPHENS, INC.
February 3, 2000 - July 17, 2002
ROBERTSON STEPHENS, INC.
November 10, 1999 - February 9, 2000
TD AMERITRADE, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ATEL SECURITIES CORPORATION
CRD#: 17229 / SEC#: , 8-35271
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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