Herbert W. Harrell
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.
Herbert Wayne Harrell, who also goes by Wayne Harrell, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1983. Herbert had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2015 - September 30, 2025
CAPITAL ANALYSTS
August 2, 2010 - September 30, 2025
LINCOLN INVESTMENT
August 2, 2010 - September 30, 2025
LINCOLN INVESTMENT
September 27, 2006 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
February 15, 2005 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
June 26, 2001 - December 31, 2003
PMG ASSET MANAGEMENT INC
August 1, 2000 - February 15, 2005
PMG SECURITIES CORPORATION
May 3, 1989 - August 1, 2000
INVESTORS BROKERAGE SERVICES, INC.
October 2, 1987 - January 9, 1989
INSTITUTIONAL ASSET MANAGEMENT
April 18, 1986 - July 31, 1987
SLATERY SECURITIES GROUP, INC.
June 26, 1984 - April 25, 1986
INTEGRATED RESOURCES EQUITY CORPORATION
August 24, 1983 - June 27, 1984
LOWRY FINANCIAL SERVICES CORPORATION
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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
Current Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/22/2025 | ||
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
