Wayne D. Wetzel
Professional summary
Wayne Donald Wetzel JR is a registered financial advisor currently at EXCALIBUR MANAGEMENT CORP located in South Hadley, Massachusetts.
Wayne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Wayne has worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 22, Series 27, Series 28, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Wayne Donald Wetzel JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 14, 1994 - Present
EXCALIBUR MANAGEMENT CORP
April 25, 1990 - December 12, 1992
HAWTHORNE DISTRIBUTORS CORP.
May 3, 1985 - April 4, 1989
FINANCIAL CONSULTANTS, INC.
Primary Firm SEC Registration
EXCALIBUR MANAGEMENT CORP
CRD#: 110836 / SEC#: 801-39935
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/14/1994)
Exams
Series 28
Date: 10/5/1990
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
EXCALIBUR MANAGEMENT CORP
CRD#: 110836 / SEC#: 801-39935
Contact information
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 906 |
| AUM (Assets Under Management) | $ 657,022,630 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/20/2024 | ||
| 10/10/2023 |
Red Flags
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