Wayne D. Hurley
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 David Hurley, who also goes by Wayne D Hurley, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1986. Wayne had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 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 29, 2023 - November 6, 2025
CETERA INVESTMENT ADVISERS LLC
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
June 9, 2021 - November 6, 2025
CETERA WEALTH SERVICES, LLC
April 10, 2012 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
April 2, 2012 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
August 9, 2007 - April 4, 2012
NEXT FINANCIAL GROUP, INC.
September 29, 2005 - April 4, 2012
NEXT FINANCIAL GROUP, INC.
April 22, 2002 - September 29, 2005
VERITRUST FINANCIAL, LLC
March 10, 1997 - April 22, 2002
ARAGON FINANCIAL SERVICES, INC.
June 22, 1995 - February 28, 1997
SUNAMERICA SECURITIES, INC.
April 21, 1989 - June 27, 1995
ARAGON FINANCIAL SERVICES, INC.
April 13, 1988 - April 22, 1989
FMS SECURITIES, INC.
August 24, 1987 - March 22, 1988
JUDY & ROBINSON SECURITIES, INC
March 19, 1986 - September 11, 1987
USLIFE EQUITY SALES CORP.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
