Wayne Roger Caron
Professional Summary
Wayne Roger Caron, who also goes by Wayne Roger Caron Jr, Wayne Caron, is a registered financial advisor currently at PRIME EXECUTIONS, INC. located in New York, New York. Wayne is registered as a RR (Registered Representative) and started their career in finance in 1988. Wayne has worked at 6 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 79TO, SIE, Series 55, Series 25, Series 7, Series 10, Series 24, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Wayne Roger Caron Jr, Wayne Caron
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
FREEDOM CAPITAL MARKETS | SILVERMAN BROTHERS, INC. | PRIME EXECUTIONS, INC. | FREEDOM STRATEGIC SOLUTIONS
Contact Information
Main Address
40 Wall Street - 58th Floor, New York, NY 10005Mailing Address
40 Wall Street - 58th Floor, New York, NY 10005Phone Number
(212) 980-4400Established
Delaware since 11/12/1987Firm Type
CorporationFiscal Year End
MarchFirm Size
SmallFINRA licenses (36 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(9/29/2026)
(8/18/2025)
(6/18/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jun 2008Series 25 — NYSE Trading Assistant Examination
Passed Feb 2000Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 12 — NYSE Branch Manager Examination
Passed Nov 1999SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Wayne Roger Caron's CRS (Customer Relationship Summary).
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