Wayne Bland
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 Bland was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1999. Wayne had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2016 - January 31, 2017
SOUTHEAST INVESTMENTS, N.C., INC.
March 22, 2016 - January 31, 2017
SOUTHEAST INVESTMENTS, N.C., INC.
January 12, 2015 - March 24, 2016
EDWARD JONES
December 23, 2014 - March 24, 2016
EDWARD JONES
November 9, 2007 - August 5, 2011
LPL FINANCIAL LLC
February 27, 1999 - October 20, 2005
VANGUARD MARKETING CORPORATION
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
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
