By now you've indicated your interest in joining Waddell & Reed and have completed
the Candidate Profile. The profile is designed to help us learn about you and your
business so that we can be proactive when customizing your transition process. Your
transition specialist will coordinate the review of your business mix, existing
contract, any outside business activity or other special circumstances with the
appropriate parties. In addition, they will help you navigate the timing of your
resignation and affiliation and help ensure compliance with Regulation S-P.
W&R Candidate Profile
- Contact information
- Legal and regulatory history/due diligence
- Existing contract (non-compete, non-solicit)
- Privacy policy
- Office location/registration
- Outside Business Activity (OBA)
- Business mix and client profile
- Business revenues
Outside Business Activity (OBA)
- Waddell & Reed rules and regulations
- Candidate guidelines
- OBA form
Doing Business As (DBA)
- Waddell & Reed rules and regulations
- Candidate guidelines
- DBA Form