Steven D. Dalrymple
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.
Steven Douglas Dalrymple, who also goes by Steve Dalrymple, Steven D Dalrymple, Steven Douglas Dalrymple, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2015. Steven had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2020 - January 7, 2021
WADDELL & REED
July 15, 2020 - January 7, 2021
WADDELL & REED
January 7, 2018 - October 19, 2018
TITAN SECURITIES
December 7, 2017 - October 19, 2018
TITAN SECURITIES
February 24, 2017 - October 9, 2017
SIGNATOR INVESTORS, INC.
February 24, 2017 - October 9, 2017
SIGNATOR INVESTORS, INC.
August 29, 2016 - January 31, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 29, 2016 - January 31, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 15, 2016 - August 1, 2016
EQUITABLE ADVISORS, LLC
July 15, 2016 - August 1, 2016
EQUITABLE ADVISORS, LLC
May 6, 2016 - June 30, 2016
MSI FINANCIAL SERVICES, INC.
January 8, 2016 - June 30, 2016
MSI FINANCIAL SERVICES, INC.
October 19, 2015 - January 11, 2016
WADDELL & REED
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
Current Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
