Wayne A. Ellison
Professional summary
Wayne Arthur Ellison, who also goes by Arthur Wayne Ellison, Wayne A Ellison, is a registered financial professional currently at HERITAGE FINANCIAL SYSTEMS, LLC located in Malvern, Pennsylvania.
Wayne is registered as a RR (Registered Representative) and started their career in finance in 1987. Wayne has worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Wayne Arthur Ellison's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 13, 2014 - Present
HERITAGE FINANCIAL SYSTEMS, LLC
Office #1: 5 Great Valley Parkway Suite 334, Malvern, PA 19355November 17, 2011 - December 6, 2013
WINDSOR STREET CAPITAL, LP
May 11, 2010 - January 14, 2011
TODD AND COMPANY, INC.
March 30, 2004 - June 26, 2008
RENCAP SECURITIES, INC.
April 2, 1999 - July 26, 2002
BANC OF AMERICA SECURITIES LLC
March 31, 1998 - June 9, 1998
NORTHEAST SECURITIES, LLC
January 7, 1997 - March 16, 1998
ROBERT FLEMING INC.
September 29, 1987 - December 9, 1996
NOMURA SECURITIES INTERNATIONAL, 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
(4/25/2014)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/4/2005
Limited Representative-Equity Trader ExamFINRA
Current Firm
HERITAGE FINANCIAL SYSTEMS, LLC
CRD#: 133019 / SEC#: , 8-66670
Contact information
FINRA licenses (14 States and Territories)
Disclosures
| Civil Event | 1 |
Red Flags
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