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Daniel Roy Waldrop

Pershing LLC

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About Daniel Roy Waldrop

Daniel Roy Waldrop is a financial advisor with over 12 years of experience in the financial services industry. Daniel is currently registered with Pershing LLC and Pershing Advisor Solutions LLC. Daniel has a strong track record of providing investment advice to individuals and families.

Firm Information

Daniel Waldrop is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Daniel Waldrop’s Registration & Firm History

FL

11/17/2021 - Present

Pershing LLC (LAKE MARY FL)

FL

07/28/2011 - 04/27/2016

FIDELITY BROKERAGE SERVICES LLC (JACKSONVILLE FL)

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Licenses & Designations

BOTH

Issued 05/15/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/03/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/06/2017

Series 24 - General Securities Principal Examination

BC

Issued 06/02/2015

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 05/07/2015

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/01/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/27/2011

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Daniel Roy Waldrop.
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