David W Waldo

Current Employers

Employment History

• 03/2011 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Glastonbury, CT

Previous Registrations

• 2009-10-29 → 2011-03-14
  Ohanesian / Lecours, Inc.
  West Hartford, CT
  West Hartford, CT
  Glastonbury, CT
  West Hartford, CT
• 2008-10-14 → 2009-02-09
  Banc Of America Investment Services, Inc.
  Hartford, CT
• 2006-03-08 → 2006-04-06
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 2004-12-08 → 2006-03-08
  Advest, Inc.
  Hartford, CT

Other Businesses

I*127546 For profit or not for profit: For-Profit Organization Name of outside business organization: Talking Squirrels, LLC Investment related: N Address of business: Glastonbury, Connecticut 06033 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 11/1/2019 Number of hours devoted: 10 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: I established a single person LLC for the purposes of publishing a children's book. I wrote and will self-publish the book and do not foresee any other duties. "I ""994596"", Name of OBA: Rental Property 1, Address: South Glastonbury, Connecticut, Investment Related: N, Position, Title: Co-owner with other family members, Employee Start Date: 9/19/2022, No Hours: 2, Monthly, No Hours during trading: 0, Duties: N/A I*1271271 For profit or not for profit: Entity For Profit Name of outside business organization: Publishing Investment related: N Address of business: Glastonbury, Connecticut, 06033 Nature of business: ["Sole Proprietorship"] Position, title, association: ["Owner"], Start date of relationship: 5/1/2023 Number of hours devoted: 20 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , I have written a book and am seeking permission to publish it. General Notes: I have written a basic financial planning book and wish to have it published. I may seek an agent and/or a contract with a publisher. If I do not find a traditional publisher, I will self-publish it myself. I have attached a copy here. The working title

Exams

• S66 Uniform Combined State Law Examination
  2008-10-10
• S63 Uniform Securities Agent State Law Examination
  2002-02-28

Designations

Other Names

• David William Waldo