Waddell & Associates, LLC

Waddell & Associates, LLC (CRD# 283723) is a financial advisory firm headquartered in Memphis, TN. They manage $735,630,031 in 2,695 accounts and serve the financial needs of clients across 16 states (or territories).

By the Numbers
  • Total Assets Under Management
    736
    MILLION
  • Total Number of Accounts
    2,695
    ACCOUNTS
  • Average Account Value
    $272,961
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

AL, AR, CA, CO, FL, GA, KY, LA, MO, MS, NC, NY, SC, TN, TX, WA

Financial Advisors at Waddell & Associates, LLC
Showing 1 - 10 of 11 top financial advisors.
1
Tara D. Carlson
CRD#: 5668845
5188 Wheelis Drive, Memphis, TN 38117
96
Wealthminder
score

Tara Carlson (CRD# 5668845) is an Investment Advisor Representative working at Waddell & Associates, LLC in Memphis, TN and has over 7 years of experience in the finance industry. Tara Carlson has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

2
Phyllis R. Scruggs
CRD#: 1978398
5188 Wheelis Drive, Memphis, TN 38117
96
Wealthminder
score

Phyllis Scruggs (CRD# 1978398) is an Investment Advisor Representative working at Waddell & Associates, LLC in Memphis, TN and has over 25 years of experience in the finance industry. Phyllis Scruggs has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

3
David S. Waddell
CRD#: 2682170
5188 Wheelis Drive, Memphis, TN 38117
96
Wealthminder
score

David Waddell (CRD# 2682170) is an Investment Advisor Representative working at Waddell & Associates, LLC in Memphis, TN and has over 21 years of experience in the finance industry. David Waddell has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

4
Kathy S. Williams
CRD#: 1721091
5188 Wheelis Drive, Memphis, TN 38117
96
Wealthminder
score

Kathy Williams (CRD# 1721091) is an Investment Advisor Representative working at Waddell & Associates, LLC in Memphis, TN and has over 30 years of experience in the finance industry. Kathy Williams has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

5
William H. Yates
CRD#: 5630161
5188 Wheelis Drive, Memphis, TN 38117
96
Wealthminder
score

William Yates (CRD# 5630161) is an Investment Advisor Representative working at Waddell & Associates, LLC in Memphis, TN and has over 8 years of experience in the finance industry. William Yates has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

6
Tara L. Meeks
CRD#: 1378220
5188 Wheelis Drive, Memphis, TN 38117
93
Wealthminder
score

Tara Meeks (CRD# 1378220) is an Investment Advisor Representative working at Waddell & Associates, LLC in Memphis, TN and has over 30 years of experience in the finance industry.

7
Sean E. Gould
CRD#: 6231004
5188 Wheelis Drive, Memphis, TN 38117
92
Wealthminder
score

Sean Gould (CRD# 6231004) is an Investment Advisor Representative working at Waddell & Associates, LLC in Memphis, TN and has over 4 years of experience in the finance industry. Sean Gould has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

8
Timothy W. Ellis
CRD#: 6447695
5188 Wheelis Drive, Memphis, TN 38117
90
Wealthminder
score

Timothy Ellis (CRD# 6447695) is an Investment Advisor Representative working at Waddell & Associates, LLC in Memphis, TN and has 1 year of experience in the finance industry. Timothy Ellis has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

9
Perry J. Green
CRD#: 4748372
5188 Wheelis Drive, Memphis, TN 38117
90
Wealthminder
score

Perry Green (CRD# 4748372) is an Investment Advisor Representative working at Waddell & Associates, LLC in Memphis, TN and has 1 year of experience in the finance industry. Perry Green has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

10
Claire E. Pennel
CRD#: 5630259
5188 Wheelis Drive, Memphis, TN 38117
90
Wealthminder
score

Claire Pennel (CRD# 5630259) is an Investment Advisor Representative working at Waddell & Associates, LLC in Memphis, TN and has 1 year of experience in the finance industry. Claire Pennel has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Advisor profile scores displayed on this site are derived using the following criteria. Step 1: An advisor profile rating starts with a baseline score of 90 points. Step 2: The advisor score is increased from the baseline after screening for 3 criteria: years of experience, industry credentials and completeness of profile. Step 3: The advisor score is decreased after screening for publicly available disclosure events such as litigation or regulatory matters. Such decreases relate to the existence of a disclosure and, in most cases, do not account for timing, magnitude or severity of such disclosure. Many other factors are not considered in the scoring such as financial stability, fees, affiliations and educational background, and you should carefully consider these factors. The criteria are based on information Wealthminder deems helpful and available at the time of the scoring. Scores do not vary based on qualitative feedback from users. Advisor presentation and visibility and allocation of proposals will vary for advisors who pay a marketing plan program fee. Wealthminder does not recommend or provide any warranty or guarantee of the quality or suitability of any specific advisor or products or services offered by such advisor. Please consult regulatory sites for additional information about advisors’ background.