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Donald Richard Waldrop

CRD# 456942·Registered 1968 - 1990
Previously Registered: Being a previously registered professional could mean that Donald 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.

Professional Summary

Donald Richard Waldrop was a registered financial advisor. Donald was a previously registered financial professional and started their career in finance 1968 - 1990. Donald had worked at 4 firms and has passed the Series 63, Series 1 and Series 00 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

58 years in the financial services industry

Current & Past Employments

EASLAN SECURITIES CORPORATION·CRD# 13678
BD
April 28, 1987 - July 27, 1990
SHELTER FINANCIAL SERVICES, INC.·CRD# 14087
BD
November 2, 1983 - November 26, 1986
INVESTMENT PLANNING INC·CRD# 1000004
BD
November 12, 1971 - May 2, 1975
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
August 19, 1968 - December 14, 1983

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Current Firm

ES
EASLAN SECURITIES CORPORATION

EASLAN SECURITIES CORPORATION

CRD#: 13678 / SEC#: 8-29646
BD
Cancelled by FINRA on 02/03/1992

Contact Information

Established

South Carolina since 01/12/1983

Firm Type

Corporation

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1982About the Series 63 exam

Series 1 — Registered Representative Examination

Passed Aug 1968

Series 00 — General Securities Principal Examination

Passed Jul 1972

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CRS (Client Relationship Summary)

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

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