Wayne J. Conners
Professional summary
Wayne Joseph Conners was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Wayne is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Wayne had worked at 7 firms, which includes CINCINNATI ANALYSTS INC., CAPITAL BROKERAGE CORPORATION, HEFREN-TILLOTSON INC., JANNEY MONTGOMERY SCOTT LLC, RICHARDS LYNCH & PEGHER INC., FIRST OF PHILADELPHIA INVESTMENT GROUP INC., BUTCHER & SINGER INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 1993 - March 21, 1994
CINCINNATI ANALYSTS, INC.
May 23, 1991 - October 2, 1992
CAPITAL BROKERAGE CORPORATION
January 29, 1991 - October 2, 1992
CAPITAL BROKERAGE CORPORATION
September 6, 1989 - January 29, 1991
HEFREN-TILLOTSON, INC.
July 3, 1989 - September 13, 1989
JANNEY MONTGOMERY SCOTT LLC
February 13, 1989 - July 3, 1989
RICHARDS, LYNCH & PEGHER, INC.
March 23, 1988 - April 14, 1988
FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.
May 24, 1984 - March 25, 1988
BUTCHER & SINGER INC.
State Registrations and Notice Filings
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Exams
Current Firm
CINCINNATI ANALYSTS, INC.
CRD#: 5478 / SEC#: 801-9678, 8-13791
Contact information
Disclosures
| Regulatory Event | 7 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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