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WM

Wayne A. Mcintosh

Some features on this profile are disabled
CRD#: 1012152
WM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Wayne Albert Mcintosh was a registered financial professional .

Wayne is a previously registered financial professional and started their career in finance in 1981. Wayne had worked at 8 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 1, 1997 - December 9, 2002

CGS FINANCIAL INC.

BD
CRD#: 43125
SCOTTSDALE, AZ
Past

December 6, 1993 - October 8, 1997

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

November 11, 1992 - December 6, 1993

PRINCIPAL FINANCIAL SECURITIES,INC.

BD
CRD#: 260
DALLAS, TX
Past

September 4, 1990 - November 6, 1992

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

June 12, 1989 - September 4, 1990

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

BD
CRD#: 76
Past

June 4, 1987 - July 29, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

April 3, 1984 - July 13, 1987

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

October 12, 1982 - April 19, 1984

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

November 10, 1981 - October 20, 1982

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/1981
General Securities Representative Examination

Current Firm

CF
CGS FINANCIAL INC.
ARIZONA CAPITAL GROUP, INC. | CGS FINANCIAL INC.

CRD#: 43125 / SEC#: , 8-50143

BD
Terminated by SEC on 02/07/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Arizona since 03/19/1997
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CGS BLACKWATER, LLCHOLDING COMPANY
SHERMAN, GARY JOSEPHPRESIDENT822819
PITTMAN, SAMUEL QUINNSECRETARY, COMPLIANCE OFFICER, ROP, MP2590285
TRASK, ROBERT JAMESCHIEF FINANCIAL OFFICER2509073

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CGS FINANCIAL INC.

CRD#: 43125

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