Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dalton? Claim Your ProfileDalton Waldrop is an Investment Advisor Representative with Merrill Lynch, Pierce, Fenner & Smith Inc. in BOULDER, Colorado. Dalton has 13 years of experience in the securities industry and specializes in retirement planning, college savings plans, estate planning, and insurance planning. Dalton is registered with FINRA and is also registered in 35 states. In addition to working with Merrill Lynch, Pierce, Fenner & Smith Inc. Dalton also owns two rental properties.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CO
05/24/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOULDER CO)
CO
12/17/2012 - 06/11/2019
J.P. MORGAN SECURITIES LLC (LOUISVILLE CO)
CO
07/27/2011 - 01/03/2013
AXA ADVISORS, LLC (DENVER CO)
CO
03/03/2008 - 05/21/2009
JACKSON NATIONAL LIFE DISTRIBUTORS LLC (DENVER CO)
BOTH
Issued 11/16/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/04/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/2011
Series 7 - General Securities Representative Examination
BC
Issued 03/01/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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