William D. Waddill
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.
William Douglas Waddill, who also goes by Doug Waddill, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 8 firms and has passed the Series 63, SIE, Series 5, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 1996 - December 23, 2014
FIRST SOUTHWEST COMPANY, LLC
September 11, 1990 - February 13, 1996
MASTERSON MORELAND SAUER WHISMAN, INC.
September 1, 1988 - May 14, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
September 1, 1987 - September 1, 1988
BOETTCHER & COMPANY, INC.
October 2, 1986 - September 1, 1987
LOVETT MITCHELL WEBB & GARRISON, INC.
January 4, 1978 - October 16, 1986
UNDERWOOD, NEUHAUS & CO., INCORPORATED
February 7, 1977 - January 8, 1978
WEEDEN & CO.
April 14, 1970 - February 13, 1977
SMYTH, AKINS & LERCH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 6/3/1985
Interest Rate Options ExaminationSeries 1
Date: 4/6/1970
Registered Representative ExaminationSeries 00
Date: 5/17/1971
General Securities Principal ExaminationCurrent Firm
FIRST SOUTHWEST COMPANY, LLC
CRD#: 316 / SEC#: , 8-1523
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
Red Flags
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