WC
Wayne S. Christie
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CRD#: 1123637
WC
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 Stanley Christie was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1983. Wayne had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
Rental~2353 Crew Cr, Dayton, OH 45439~rental~N~owner~10/20/1989~1 hrs/mo~0 trading hrs/mo|Rental~98 Marco, Centerville, OH 45459~rental~N~owner~11-07-1994~1 hrs/mo~0 trading hrs/mo|Rental~148 Goldengate, Centerville, OH 45459~rental~N~owner~04/28/1997~1 hrs/mo~0 trading hrs/mo|Rental~12-4 Mallard Glen, Centerville, OH 45459~rental~N~owner~03/12/1993~1 hrs/mo~0 trading hrs/mo|Rental~6808 Anchor Way, Sarasota, FL 34231~rental~N~owner~09/15/2015~1 hrs/mo~0 trading hrs/mo|Rental~4252 Expedition Way, Osprey, FL 34229~Rental~N~Owner~0816/2017~1 hrs/mo~0 trading hrs/mo|Aetna|Anthem Life Ins Co|Berkshire Life Ins Co|Continental Life Ins Co Of Brentwood Tennesee|Dental Care Plus Inc|GBU Fin'l Life|Gerber Life Ins Co|Guardian Ins & Annuity Co Inc|Guardian Life Ins Co of America|Medical Mutual of OH|United Farm Life Family Ins Co RENTAL PROPERTY POSITION: Owner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/18/2018 ADDRESS: 4238 Expedition Way, Osprey FL 34229, United States DESCRIPTION: owner/landlord RENTAL PROPERTY POSITION: Owner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/18/2018 ADDRESS: 4238 Frontier Way, Osprey FL 34229, United States DESCRIPTION: owner/landlord GENERAL HEALTH INSURANCE POSITION: Agent NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 10/09/1997 ADDRESS: 9400 David Andrew Way, Centerville OH 45458, United States DESCRIPTION: Selling and servicing health insurance
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
August 23, 1999 - November 6, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
CENTERVILLE, OH
Past
April 22, 1983 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
April 22, 1983 - November 6, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
CENTERVILLE, OH
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRUCO SECURITIES, LLC.
PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC
CRD#: 5685 / SEC#: 801-52208, 8-16402
RIA
Registered Investment Advisory firm - SEC (6/28/1996 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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
General Industry/Product Exam
Current Firm
PRUCO SECURITIES, LLC.
PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC
CRD#: 5685 / SEC#: 801-52208, 8-16402
RIA
Registered Investment Advisory firm - SEC (6/28/1996 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
751 Broad Street, Newark, NJ 07102-3777
Mailing Address
751 Broad Street, Newark, NJ 07102-3777
Phone number
(973) 802-6000
Established
New Jersey since 09/22/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
387
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
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.
