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CRD#: 866
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FIRM PROFILE
Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information
Where the Statistical Data for WADDELL & REED Comes From
Understanding the Statistics for WADDELL & REED and How They Compare to Other Firms Through Our Analysis
Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
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No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
29
Civil Event
1
Arbitration
11
Bond
3
FIRM INFORMATION
Main Address
6300 Lamar Avenue, Overland Park, KS 66202-4200
Established
Delaware since 08/11/1981
Firm Type
Corporation
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody
FIRM DOCUMENTS
Part 2 Brochures
ADVISORY SERVICES BROCHURE - CHOICE MAP (3/31/2021)
ADVISORY SERVICES BROCHURE - MAP LATITUDE (3/31/2021)
ADVISORY SERVICES BROCHURE - MAPDIRECT (3/31/2021)
ADVISORY SERVICES BROCHURE - CLASSIC MAP (3/31/2021)
ADVISORY SERVICES BROCHURE - FINANCIAL PLANNING (3/31/2021)
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
The Importance of Understanding a Firm’s Role when Evaluating an Advisor
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Advisor's working at WADDELL & REED
Lawrence Douglas Kriesmer
IAR
CRD#: 1574511
Location:
San Diego, CA 92121
Company:
MEASURED RISK PORTFOLIOS
Disclosures:
Experience:
36 years
HA
Hazan Akgun
RR
CRD#: 7682490
Location:
Clifton, NJ 07011
Company:
J.P. MORGAN SECURITIES LLC
Disclosures:
Experience:
3 years
Glenn C Sanger-hodgson
IAR
CRD#: 7485353
Location:
Tallahassee, FL
Company:
SHONAN GOLD FINANCIAL LLC
Disclosures:
Experience:
4 years
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