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Daniel Michael Waddick

LPl Financial LLC

Northfield, IL

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-12-13
IL RA APPROVED 2019-11-06
  • TX RA
    APPROVED_RES
    Since 2022-12-13
  • IL RA
    APPROVED
    Since 2019-11-06

Branch Locations

1 Northfield Plz Ste 300 Ofc 24, Northfield, IL 60093 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wunderlich Securities, Inc. Memphis TN 06/2010 11/2019
Lpl Financial Northfield IL 11/2019 Present
  • 06/2010 → 11/2019
    Wunderlich Securities, Inc.
    Memphis, TN
  • 11/2019 → Present
    Lpl Financial
    Northfield, IL
Previous Registrations
  • 2010-07-01 → 2019-11-12
    B. Riley Wealth Management
    Chicago, IL
  • 2004-09-10 → 2010-07-14
    Stifel, Nicolaus & Company, Incorporated
    Lake Forest, IL
  • 2000-12-19 → 2004-09-17
    A. G. Edwards & Sons, Inc.
    Lake Forest, IL
Other Businesses

1)11/2019 - DBA for LPL Business (entity for LPL business) - Waddick Investment Management - 100% - INVESTMENT RELATED - NORTHFIELD, IL 60093

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-12-14
S63 Uniform Securities Agent State Law Examination 1989-05-17
  • S66 Uniform Combined State Law Examination
    2000-12-14
  • S63 Uniform Securities Agent State Law Examination
    1989-05-17

View on SEC IAPD

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Other Offices

MARCUS CAPITAL, LLC · NORTHFIELD, IL
MOLLER WEALTH PARTNERS · NORTHFIELD, IL
STRATEGIC PORTFOLIO MANAGERS · NORTHFIELD, IL
BRENTVIEW INVESTMENT MANAGEMENT, LLC · NORTHFIELD, IL
TREETOP WEALTH MANAGEMENT, LLC · NORTHFIELD, IL
KENNEY INVESTMENTS INC · NORTHFIELD, IL
ARDOR INVESTMENT MANAGEMENT CONSULTING · NORTHFIELD, IL
CERTITUDE ADVISORS, LLC · NORTHFIELD, IL

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