WADDELL & REED
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WADDELL & REED
(CRD# 866)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Overland Park, KS.
The SEC approved the firm to operate as an RIA in
Jan 1982.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$21.2 Billion,
with discretion over
6%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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WADDELL & REED
also reported in
Mar 2019
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1700
employees,
all of whom perform advisory functions.
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A total of 358 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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WADDELL & REED has one or more disclosure events currently on file with the SEC.
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WADDELL & REED has Notice Filings with the following State Securities Authorities: AK-Jan 1997, AL-Aug 1991, AR-Jan 1997, AZ-Mar 2004, CA- CO-Jan 1999, CT-Aug 1997, DC-Jan 1997, DE-Jul 2003, FL-<
, GA-Dec 1996, HI-Jun 1997, IA-Jan 1999, ID-Jan 1997, IL-<
, IN-Feb 2001, KS-Jul 1997, KY-Jul 2003, LA-Oct 2001, MA-<
, MD-Feb 1997, ME-Jan 1997, MI-Mar 2004, MN-Sep 1999, MO-<
, MS-Oct 1997, MT-Dec 1997, NC-Dec 2000, ND-Jan 1997, NE-<
, NH-Jan 1997, NJ-Dec 1996, NM-Jan 1997, NV-Jan 1994, NY-<
, OH-Jun 1999, OK-Jan 1998, OR-Mar 2004, PA-Mar 2002, PR-<
, RI-Feb 1997, SC-Jan 1997, SD-Dec 1996, TN-Oct 1997, TX-<
, UT-Jun 1997, VA-Jan 1997, VI-May 2007, VT-Feb 1997, WA-<
, WI-Jan 1997, WV-Sep 1997, WY-Jul 2017
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The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
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SEC. Feel free to contact
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