MW
Michael A. Waldman
IMA WEALTH
Dallas, TX 75254
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CRD#: 4688936
MW
Professional summary
Michael Aaron Waldman, AIF® is a registered financial advisor currently at IMA WEALTH located in Dallas, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Michael has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
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.
IMA, Inc. 6200 LBJ Freeway Ste 200 Dallas TX 75240. Investment related: No, Nature of business: Insurance broker. Title or Relationship: Partner, EVP of Employee Benefits Division. Start Date 5/01/16. Hrs per month: 50% - 75% (80 - 120 hrs). IMA, Inc. is an affiliate of IMA Wealth, Inc. Both are wholly owned subsidiaries of The IMA Financial Group, Inc. NLSTECH LLC, DBA iNplace Organizers, 5932 Melshire Dr. Dallas TX 75230. Investment related: No. Nature of Business: Home Organization business. Position: Spouse's company co-owned by Mr. Waldman, who is not actively involved. Start Date: 1/1/2010 Hrs per month: 0% - 10% (0 - 16 Hrs) Hrs per month during trading Hrs: 0% - 10% (0 - 14 Hrs) Duties: No duties. Price London Park, LP, 4125 Centurion Way # 200, Addison, TX 75001 Investment related: No. Nature of Business: Real Estate - Apartment Units Position, Title or Relationship: Minority Passive Investor Start Date: 11/1/2020 Hrs per month: 0% - 10% (0 - 16 Hrs) Hrs per month during trading Hrs: 0% - 10% (0 - 14 Hrs) Duties: None, just investor Price HWCC, Ltd., 4125 Centurion Way # 200, Addison, TX 75001 Investment related: No. Nature of Business: Real Estate - Apartment Units Position, Title or Relationship: Minority Passive Investor Start Date: 11/1/2020 Hrs per month: 0% - 10% (0 - 16 Hrs) Hrs per month during trading Hrs: 0% - 10% (0 - 14 Hrs) Duties: None, just investor PWHC, LP, 4125 Centurion Way # 200, Addison, TX 75001 Investment related: No. Nature of Business: Real Estate - Apartment Units Position, Title or Relationship: Minority Passive Investor Start Date: 11/1/2020 Hrs per month: 0% - 10% (0 - 16 Hrs) Hrs per month during trading Hrs: 0% - 10% (0 - 14 Hrs) Duties: None, just investor Price Standard at Cityline, LP, 4125 Centurion Way # 200, Addison, TX 75001 Investment related: No. Nature of Business: Real Estate - Apartment Units Position, Title or Relationship: Minority Passive Investor Start Date: 11/1/2020 Hrs per month: 0% - 10% (0 - 16 Hrs) Hrs per month during trading Hrs: 0% - 10% (0 - 14 Hrs) Duties: None, just investor LDG Investment 2014 Trust Agreement, 16400 Dallas Pkwy #310, Dallas, TX 75248. Investment related: No Nature of Business: Life Insurance Trust. Position, Title or Relationship: Trustee Start Date: 2/12/2014 Hrs per month: 0% - 10% (0 - 16 Hrs) Hrs per month during trading Hrs: 0% - 10% (0 - 14 Hrs) Duties: Pay annual life insurance premiums
CRS (Client Relationship Summary) - RIA
Click below to view Michael Aaron Waldman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
July 5, 2016 - Present
IMA WEALTH
Office #1: 14221 Dallas Parkway Suite 700, Dallas, TX 75254RIA
CRD#: 112091
Dallas, TX
Past
July 5, 2016 - December 15, 2023
IMA WEALTH
BD
CRD#: 112091
Dallas, TX
Past
April 20, 2016 - July 1, 2016
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
DALLAS, TX
Past
September 19, 2003 - July 1, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
DALLAS, TX
Past
August 21, 2003 - July 1, 2016
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
DALLAS, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IW
IMA WEALTH
IMA ADVISORY SERVICES, INC. | TRUENORTH, INC. | TRUENORTH SECURITIES, INC. | SYNTRINSIC | IMA WEALTH, INC. | IMA WEALTH | IMA RETIREMENT | IMA PRIVATE WEALTH
CRD#: 112091 / SEC#: 801-79108, 8-53221
RIA
Registered Investment Advisory firm - SEC (2/5/2014 Approved)BD
Terminated by SEC on 02/16/2024
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Kansas(6/10/2024)
IAR
Texas(7/5/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
IW
IMA WEALTH
IMA ADVISORY SERVICES, INC. | TRUENORTH, INC. | TRUENORTH SECURITIES, INC. | SYNTRINSIC | IMA WEALTH, INC. | IMA WEALTH | IMA RETIREMENT | IMA PRIVATE WEALTH
CRD#: 112091 / SEC#: 801-79108, 8-53221
RIA
Registered Investment Advisory firm - SEC (2/5/2014 Approved)BD
Terminated by SEC on 02/16/2024
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Contact information
Main Address
1705 17th Street Suite 100, Denver, CO 80202
Mailing Address
430 E Douglas Ave Suite 400, Wichita, KS 67202
Phone number
(316) 266-6574
Established
Kansas since 06/23/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
46
SEC notice filing (19 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE IMA FINANCIAL GROUP, INC. F/K/A INSURANCE MANAGEMENT ASSOCIATES, INC. | SHAREHOLDER | |
| DAVIS, PATRICIA LYNN | SVP, CCO, DIRECTOR | 5613123 |
| HOLT, RICHARD WILLIAM | PRESIDENT, DIRECTOR, CIO, FINOP | 2778485 |
| PAULY, ERIC MICHAEL | GENERAL COUNSEL/SECRETARY | 7719772 |
| POOL, SUSAN LOUISE | SENIOR VICE PRESIDENT/DIRECTOR | 3178683 |
Regulatory assets under management
| Total Number of Accounts | 1,514 |
| AUM (Assets Under Management) | $ 3,158,410,252 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
IMA WEALTH
CRD#: 112091Dallas, TX 75254TRUST BUT VERIFY
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