Wayne L. Pierce
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 Leslie Pierce was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1984. Wayne had worked at 11 firms and has passed the Series 63, Series 65, Series 79TO, Series 62, Series 52TO, Series 7TO, SIE, Series 50, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2022 - September 1, 2023
JOSEPH EDEN CAPITAL, LLC
January 21, 2020 - December 7, 2020
ANDES CAPITAL GROUP, LLC
October 17, 2011 - January 23, 2018
STERN BROTHERS & CO.
July 11, 2011 - October 24, 2011
GRIGSBY & ASSOCIATES, INC.
October 10, 2008 - February 10, 2011
MELVIN SECURITIES, L.L.C.
January 4, 2006 - October 1, 2008
SBK-BROOKS INVESTMENT CORP.
April 15, 2004 - January 9, 2006
SECURITRADE CORPORATION
October 16, 2001 - April 16, 2002
TITLE SECURITIES, INC.
June 24, 1999 - December 20, 1999
BEREAN CAPITAL INCORPORATED
August 24, 1994 - May 30, 1997
PIERCE & COMPANY L.P.
January 25, 1984 - March 30, 1993
CLAYTON BROWN & ASSOCIATES, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
JOSEPH EDEN CAPITAL, LLC
CRD#: 310317 / SEC#: , 8-70574
Contact information
FINRA licenses (18 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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