WB
Wayne E. Brown
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CRD#: 1038574
WB
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 Eugene Brown was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1981. Wayne had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 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.
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®
NoneExperience
Past
July 20, 2010 - December 31, 2013
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
GRAND RAPIDS, MI
Past
May 19, 2010 - December 31, 2013
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
GRAND RAPIDS, MI
Past
August 8, 1997 - June 16, 2010
ISG EQUITY SALES CORPORATION
BD
CRD#: 42175
GRAND RAPIDS, MI
Past
May 20, 1986 - October 14, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
May 19, 1986 - October 14, 1997
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
December 28, 1981 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
VF
VSR FINANCIAL SERVICES, INC.
ADVANCED FINANCIAL STRATEGIES | MBT FINANCIAL | MATTHEW BURKE | MATT DRESDEN INSURANCE SOLUTIONS, LLC | MASINMISKO | MARTINSBURG BANK AND TRUST | MARTIN CAPITAL MANAGEMENT, LLC | LYNN WHITCHER | LOWRY FINANCIAL SERVICES | LOWERY, WELDON & COMPANY, CPAS, PA | LONGENECKER FINANCIAL SERVICES | LONE WOLF FINANCIAL, LLC | LMC FINANCIAL SERVICES, LLC | LLOYD INVESTMENT SERVICES | LEIGHTON STATE BANK | LEAF INVESTMENT GROUP | LARSON FINANCIAL SERVICES, INC. | LACKEY FINANCIAL MANAGEMENT | KOWITZ FINANCIAL GROUP, LLC | KNIGHT INVESTMENTS GROUP, INC. | KNIGHT INVESTMENTS GROUP, INC | KFK FINANCIAL ADVISORY SERVICES | KENNEDY FINANCIAL SERVICES | KECHELY WEALTH MANAGEMENT | KAUP'S INSURANCE AND INVESTMENTS, INC. | KAUP'S FINANCIAL ADVISORS, INC. | KATHLEEN LAURIN | K.A.K. INVESTMENTS, INC. | K.A.K. BROKERAGE, INC. | JOSEPH ALFINITO | JON GRAMS | JOHN PRATT FINANCIAL LLC | JOHN DELANEY FINANCIAL | JIM BLOSSER AND ASSOCIATES | JESSE J. GRIFFIN, JR, CFP, INC. | JAMES E. HEARNS AND ASSOCIATES | J. R. HINZ & ASSOCIATES | ISG EQUITY SALES CORPORATION | ISG ADVISORS | IRONHORSE WEALTH MANAGEMENT | INVESTORS CAPITAL ADVISORY | INVESTMENT SERVICES GROUP | INVESTMENT CONCEPTS, LLC. | INTEGRITY FINANCIAL ADVISORS, INC | INTEGRATED INVESTMENT GROUP (IIG) | INSURANCE AND EMPLOYEE BENEFITS, INC. | INSURANCE & WEALTH STRATEGIES, LLC | INDEPENDENT INVESTMENT SERVICES | INDEPENDENT FINANCIAL SERVICES | HUTCHINSON INCOME TAX & FINANCIAL SERVICES | HESTER & COMPANY, PC | HERITAGE PRIVATE WEALTH MANAGEMENT, LLC | HERITAGE ADVISORS, LLC | HELGESON FINANCIAL SERVICES | HCSB FINANCIAL SERVICES | HAWAII FINANCIAL ADVISORS, INC. | HAROLD JOHNSON | HANDWERKER FINANCIAL, LLC | GREGG HORSMAN | GRAY-LEWIS ADVISORY GROUP, LLC | GLEASON FINANCIAL GROUP | GILBERT & COOK, INC. | GEMINI FINANCIAL ADVISORS, LLC | GAGNE AND ASSOCIATES | FULFER AND ASSOCIATES, INC. | FRAZIER DECAMP FINANCIAL SERVICES | FOUREST, LLC | FOREMAN FINANCIAL GROUP | FLEMING FINANCIAL SERVICES | FIRST FINANCIAL SERVICES GROUP | FIRST FINANCIAL CENTER OF DALLAS | FIRST ADVISORS | FINANCIAL SOLUTIONS, INC. | FINANCIAL PLANNING AND MANAGEMENT, INC. | FINANCIAL PLANNING & CONSULTING SERVICES, LLC | FINANCIAL PARTNERS, INC. | FINANCIAL ALTERNATIVES OF MINNEAPOLIS, INC. | FFG RETIREMENT COUNSELING | FAULKNER ASSET MANAGEMENT, LLC | FALTER WEALTH MANAGEMENT SERVICES, INC. | FALCON FINANCIAL SERVICES, INC. | ETA FINANCIAL SERVICES | ENDEAVOR INVESTMENT RESOURCES | EMPLOYEE FINANCIAL PLANNING RESOURCES | DSM FINANCIAL | DRESDEN INSURANCE | DISCIPLINED EQUITIES | DERAMUS WEALTH MANAGEMENT, LLC | DENNIS E. WILT & ASSOCIATES | DELTA INVESTMENT SERVICES, INC. | DAVID STUART FINANCIAL | DAUBERT & BUTLER ASSOCIATES, INC. | CTL FINANCIAL GROUP | CROWN WEALTH MANAGEMENT | CREST FINANCIAL GROUP | CRANFILL & ASSOCIATES WEALTH MANAGEMENT | COURTESY FINANCIAL ADVISORS | CORE INVESTMENTS GROUP | CORE + FINANCIAL STRATEGIES, LLC | COORDINATED BENEFIT PLANS | COMPENSATION DESIGNS, LLC. | COMMUNITY FIRST INVESTMENT SERVICES GROUP | COMMONWEALTH CONCIERGE | COLLIER SUSTAINABLE WEALTH MANAGEMENT | COLEMAN/QUINER, LTD | CISNEROS FINANCIAL SERVICES, LLC | CHRISTOPHER WESSELS | CHAPMAN WEALTH MANAGEMENT | CETERA ADVISOR NETWORKS LLC | CENTURY FINANCIAL SERVICES | CENTS & SENSIBILITY, INC. | CARRIE HIBNER | CARPENTER & ASSOCIATES | CARPENTER & ASSOC FINANCIAL & ADVISORY SERVICES, LLC | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH PLANNING | CARLYLE WEALTH MANAGEMENT | CAPITAL RESOURCES GROUP, INC. | CALKINS-YOUNGQUIST FINANCIAL LIFE PLANNING LLC | C.E. CAMPBELL & ASSOCIATES | C. GERACI & COMPANY WEALTH AND INVESTMENT ADVISORS | C. GERACI & COMPANY | BURR AND ASSOCIATES | BURCH & COMPANY, INC. | BUFFALO TRACE FINANCIAL GROUP | BRODINE FINANCIAL SERVICES, INC. | BORST INVESTMENT PLANNING SERVICES, INC. | BODENSTEINER INVESTMENT ADVISORS, INC. | BODENSTEINER INVESTMENT ADVISORS | BKT MANAGEMENT COMPANY | BENNETT ELY | BECKETT WEALTH MANAGEMENT GROUP, LLC | BEARING FINANCIAL ADVISORS, LLC | BAUMGARTNER FINANCIAL SERVICES, LTD. | ARMAGOST FINANCIAL GROUP, LLC | ALEXANDER INVESTMENT SERVICES, INC. | ALBA FINANCIAL GROUP | ALBA DOW BENEFIT SOLUTIONS...
CRD#: 14503 / SEC#: 801-61672, 8-30780
BD
Terminated by SEC on 01/09/2017
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Contact information
Main Address
8620 W. 110th Street, Overland Park, KS 66210
Mailing Address
Phone number
Established
Missouri since 10/07/1983
Firm type
Corporation
Fiscal year end
December
# of Employees
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VSR GROUP, LLC | PARENT CORPORATION | |
| BRETADO, SANTIAGO AVILA | CHIEF FINANCIAL OFFICER | 1945627 |
| EISENHAUER, JEFFREY NEAL | VICE PRESIDENT AND TRADE DESK DIRECTOR | 2345135 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| OLSON, GREGORY ALAN | SECRETARY | 2692482 |
| SCRUGGS, CHATTEN WALKER | SENIOR VICE PRESIDENT AND CHIEF TECHNOLOGY OFFICER | 2739132 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STANFIELD, JAMES MICHAEL | CHIEF EXECUTIVE OFFICER | 433482 |
| STANFIELD, JON MICHAEL | PRESIDENT, BD CCO AND RIA CCO | 4955169 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
| Bond | 1 |
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.
