Wayne Fiene
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 Fiene, who also goes by Wayne F Fiene, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1982. Wayne had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 72 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2014 - August 26, 2015
MORGAN STANLEY
February 26, 2014 - August 26, 2015
MORGAN STANLEY
June 19, 2009 - June 30, 2010
BOE SECURITIES INC.
October 13, 2008 - February 27, 2009
EQUITABLE ADVISORS, LLC
September 24, 2008 - February 27, 2009
EQUITABLE ADVISORS, LLC
April 8, 2008 - May 19, 2008
BONDS.COM LLC
March 8, 2007 - November 12, 2007
DAIWA CAPITAL MARKETS AMERICA INC.
May 23, 2006 - January 30, 2007
WALL STREET ACCESS
January 22, 2003 - May 8, 2006
ZIONS DIRECT, INC.
October 27, 1998 - July 31, 2000
MORGAN STANLEY & CO. LLC
May 13, 1997 - October 26, 1998
MORGAN STANLEY DW INC.
June 14, 1996 - October 31, 1996
CITICORP SECURITIES, INC.
March 25, 1991 - February 6, 1996
MERRILL LYNCH GOVERNMENT SECURITIES INC.
October 20, 1982 - February 6, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 72
Date: 1/17/2003
Government Securities Representative ExaminationCurrent Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
