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WS

Waddy E. Stephenson

THE VERTICAL MARKET INTELLIGENCE GROUP
ESCONDIDO, CA
Some features on this profile are disabled
CRD#: 6583111
WS

Professional summary

Waddy E Stephenson MR is a registered financial advisor currently at THE VERTICAL MARKET INTELLIGENCE GROUP, LLC located in Escondido, California and THE VERTICAL GROUP located in Red Bank, New Jersey.

Waddy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Waddy has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

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.
I am the sole proprietor of The Law Office of Waddy Stephenson, a solo law practice in San Diego, CA. My practice is not investment related. Its address is 701 Palomar Airport Road Suite 300, Carlsbad, CA 92011. I was admitted to the State Bar of California in July 2011 and to the State Bar of New York in 2017 and have practiced law under this name since July 2011 and devote approximately 20 hours each month to the practice, approximately half of which occur during trading hours. I am also a part-time employee of Forward Slope where I provide general legal support by reviewing or drafting contracts and provide advice on other issues, such as human resources and export compliance. Forward Slope is a privately owned engineering firm primarily engaged in providing engineering services to the U.S. military. Forward Slope is headquartered at 2020 Camino Del Rio North Suite 400, San Diego, CA 92108. On average, I devote approximately 20 hours each month to these duties, most of which occur during trading hours. I am also a part-time consultant to Vertical Market Intelligence serving as its Chief Compliance Officer since June 1, 2023. On average, I devote approximately 40 hours each month to these duties, most of which occur outside of trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Waddy E Stephenson MR'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®
None

Experience

Current

August 30, 2023 - Present

THE VERTICAL MARKET INTELLIGENCE GROUP, LLC

RIA
CRD#: 326975
ESCONDIDO, CA
Current

December 22, 2015 - Present

THE VERTICAL GROUP

Office #1: 130 Maple Avenue Building 5, Ph, Red Bank, NJ 07701
BD
CRD#: 104353
Red Bank, NJ

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/1/2016)
RR
New York
(1/1/2016)
IAR
New York
(8/30/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/20/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/29/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/22/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/28/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TV
THE VERTICAL MARKET INTELLIGENCE GROUP, LLC
THE VERTICAL MARKET INTELLIGENCE GROUP, LLC | VERTICAL MARKET INTELLIGENCE

CRD#: 326975 / SEC#:

New York
Registered Investment Advisory firm - (8/30/2023 Approved)
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Contact information

Main Address
99 Wall Street Suite 2280, New York, NY 10005
Mailing Address
Phone number
(212) 430-3586
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

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.

Company Information

THE VERTICAL MARKET INTELLIGENCE GROUP, LLC

CRD#: 326975Escondido, CA

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