Robert E. Wayman
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.
Robert Edmund Wayman, who also goes by Bob Wayman, Robert E Wayman, Robert Edmond Wayman, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1990. Robert had worked at 10 firms and has passed the Series 66, Series 63, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2009 - July 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 16, 2009 - July 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 14, 2006 - July 19, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
November 15, 2005 - September 8, 2006
FIFTH THIRD SECURITIES, INC.
July 6, 2005 - October 6, 2005
CHASE INVESTMENT SERVICES CORP.
January 21, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
October 11, 1999 - April 22, 2002
AMERIPRISE ADVISOR SERVICES, INC.
May 11, 1998 - September 24, 1999
RONEY & CO.
May 8, 1998 - June 2, 1999
BANC ONE CAPITAL MARKETS, INC.
May 20, 1996 - May 11, 1998
RONEY & CO. L.L.C.
July 16, 1990 - October 9, 1992
FIRST OF MICHIGAN CORPORATION
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 55
Date: 1/11/1999
Limited Representative-Equity Trader ExamCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
