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Waddy E Stephenson Mr

THE VERTICAL MARKET INTELLIGENCE GROUP
ESCONDIDO, CA
·CRD# 6583111·11 years registered

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.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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

11 years registered in the securities industry

Current & Past Employments

Current

THE VERTICAL MARKET INTELLIGENCE GROUP, LLCCurrent·CRD# 326975
RIA
Escondido, CA
August 30, 2023 - Present
THE VERTICAL GROUPCurrent·CRD# 104353
BD
130 Maple Avenue Building 5, Ph, Red Bank, NJ 07701
December 22, 2015 - Present

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Current Firm

TV
THE VERTICAL MARKET INTELLIGENCE GROUP, LLC

THE VERTICAL MARKET INTELLIGENCE GROUP, LLC | VERTICAL MARKET INTELLIGENCE

CRD#: 326975
New York
Registered Investment Advisory firm - New York (8/30/2023 Approved)

Contact Information

Main Address

99 Wall Street Suite 2280, New York, NY 10005

Phone Number

(212) 430-3586

# of Employees

2

Documents

Latest Form ADV

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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.

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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(1/1/2016)
RR
New York
(1/1/2016)
IAR
New York
(8/30/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

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

Series 65 — Uniform Investment Adviser Law Examination

Passed May 2023About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2015About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 2015About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jul 2017About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Waddy E Stephenson MR's CRS (Customer Relationship Summary).

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