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DANIEL MICHAEL WADDICK
CRD#: 1723191
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 1 NORTHFIELD PLZ STE 300
OFC 24
NORTHFIELD, IL 60093
Registration History
199019952000200520102015202020252 FIRMS1988 - 1989 (<1 year)2 FIRMS2004 - 2010 (5 years)2 FIRMS2010 - 2019 (9 years)2 FIRMS2019 - Present (5 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1993 - 2004 (11 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1989 - 1993 (3 years)BTHOMSON MCKINNON SECURITIES INC. (CRD# 829)1989 - 1989 (<1 year)BAMERICAN GENERAL SECURITIES IN... (CRD# 13626)1987 - 1988 (<1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2000 - 2004 (3 years)
License(s)

State Registrations

B
Arizona 11/6/2019

B
Michigan 11/6/2019

B
California 11/6/2019

B
New York 1/16/2020

B
Florida 11/6/2019

B
Ohio 11/6/2019

B
Illinois 11/6/2019

B
Oklahoma 11/6/2019

IA
Illinois 11/6/2019

B
Pennsylvania 11/6/2019

B
Indiana 7/29/2024

B
Texas 11/18/2022

B
Iowa 11/6/2019

IA
Texas 12/13/2022

B
Kansas 7/29/2024

B
Wisconsin 11/6/2019

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
1 NORTHFIELD PLZ STE 300 OFC 24, NORTHFIELD, IL 60093
Registered with this firm since 11/6/2019

B
LPL FINANCIAL LLC (CRD#:6413)
1 NORTHFIELD PLZ STE 300 OFC 24, NORTHFIELD, IL 60093
Registered with this firm since 11/6/2019

Previous Registration(s)
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IA
07/01/2010 - 11/12/2019 B RILEY WEALTH MANAGEMENT (CRD#:2543) CHICAGO, IL
B
07/01/2010 - 11/12/2019 B. RILEY WEALTH MANAGEMENT (CRD#:2543) CHICAGO, IL
IA
09/10/2004 - 07/14/2010 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) LAKE FOREST, IL
B
09/10/2004 - 07/14/2010 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) LAKE FOREST, IL
IA
12/19/2000 - 09/17/2004 A. G. EDWARDS & SONS, INC. (CRD#:4) LAKE FOREST, IL
B
08/06/1993 - 09/17/2004 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
B
09/15/1989 - 08/12/1993 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
04/17/1989 - 09/16/1989 THOMSON MCKINNON SECURITIES INC. (CRD#:829) NEW YORK, NY
B
05/09/1988 - 04/11/1989 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
05/09/1988 - 04/11/1989 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
B
08/18/1987 - 05/11/1988 AMERICAN GENERAL SECURITIES INCORPORATED (CRD#:13626)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.