Dennis L. Waldock
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.
Dennis Leo Waldock was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1967. Dennis had worked at 3 firms and has passed the Series 65, Series 63, Series 000, 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
July 20, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
July 16, 1979 - August 19, 1999
UBS FINANCIAL SERVICES INC.
October 26, 1967 - August 20, 1978
FOSTER & MARSHALL INC.
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
Series 000
Date: 10/24/1967
General Securities Principal ExaminationSeries 1
Date: 10/24/1967
Registered Representative ExaminationSeries 00
Date: 3/13/1973
General Securities Principal ExaminationCurrent firm
No current employment
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.
