Duane W. Waugh
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.
Duane Wallace Waugh was a registered financial professional .
Duane is a previously registered financial professional and started their career in finance in 1979. Duane had worked at 3 firms and has passed the Series 7 and Series 52 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, 2002 - July 8, 2014
PONDER SECURITIES, INC.
September 17, 1999 - July 31, 2000
PIPER SANDLER & CO.
September 24, 1979 - September 30, 1999
NUVEEN SECURITIES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
PONDER SECURITIES, INC.
CRD#: 21366 / SEC#: , 8-32699
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
