Wayne E. Estes
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 Eric Estes was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1983. Wayne had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2013 - August 31, 2023
HAZARD & SIEGEL, INC.
November 14, 2007 - April 26, 2013
TRUSTMONT FINANCIAL GROUP, INC.
January 29, 2004 - November 19, 2007
WRP INVESTMENTS, INC.
January 25, 2001 - January 30, 2004
BLUE VASE SECURITIES, LLC
February 4, 1994 - February 6, 2001
WOODBURY FINANCIAL SERVICES, INC.
May 14, 1984 - February 11, 1994
PRUCO SECURITIES, LLC.
August 22, 1983 - April 3, 1984
FORESTERS FINANCIAL SERVICES, INC.
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
HAZARD & SIEGEL, INC.
CRD#: 2048 / SEC#: , 8-13942
Contact information
FINRA licenses (43 States and Territories)
Red Flags
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