Wayne A. Gilpin
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 Alan Gilpin, who also goes by Wayne Alan Gilpin, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1985. Wayne had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 27, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2011 - October 5, 2016
SS&C MARKET SERVICES, LLC
April 23, 2007 - December 12, 2007
WESTLAND SECURITIES, LLC
February 16, 2005 - September 22, 2010
B. C. ZIEGLER AND COMPANY
January 11, 2005 - December 7, 2006
WESTLAND SECURITIES, LLC
March 7, 2002 - February 12, 2004
ADVANCED EQUITIES, INC.
July 20, 1995 - July 24, 2001
MADISON SECURITIES, INC.
December 3, 1993 - June 7, 1995
LEXINGTON SECURITIES, INC.
November 2, 1992 - November 15, 1993
PRUDENTIAL EQUITY GROUP, LLC
March 14, 1990 - November 2, 1992
UBS FINANCIAL SERVICES INC.
September 28, 1989 - February 27, 1990
CHATFIELD DEAN & CO., INC.
September 16, 1988 - September 21, 1989
B C FINANCIAL CORPORATION
February 27, 1985 - November 5, 1988
BLINDER, ROBINSON & CO., 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 55
Date: 2/7/2001
Limited Representative-Equity Trader ExamCurrent Firm
SS&C MARKET SERVICES, LLC
CRD#: 23568 / SEC#: , 8-40530
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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