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DW

Devin J. Wate

LANDOLT SECURITIES
Lake Bluff, IL 60044
Some features on this profile are disabled
CRD#: 1570324
DW

Professional summary

Devin Jon Wate is a registered financial professional currently at LANDOLT SECURITIES, INC. located in Lake Bluff, Illinois.

Devin is registered as a RR (Registered Representative) and started their career in finance in 1997. Devin has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Devin Jon Wate's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 3, 2021 - Present

LANDOLT SECURITIES, INC.

Office #1: 900 North Shore Drive Suite 279, Lake Bluff, IL 60044
RIA
BD
CRD#: 28352
Lake Bluff, IL
Past

October 11, 2020 - March 19, 2021

BROKERBANK SECURITIES, INC.

BD
CRD#: 130116
MINNETONKA, MN
Past

March 7, 2019 - April 14, 2020

BROKERBANK SECURITIES, INC.

BD
CRD#: 130116
MINNETONKA, MN
Past

November 1, 2018 - February 27, 2019

LAKE STREET CAPITAL MARKETS, LLC

BD
CRD#: 164447
Mesa, AZ
Past

July 14, 2005 - April 24, 2009

LEDGEMONT CAPITAL MARKETS LLC

BD
CRD#: 119340
NEW YORK, NY
Past

January 10, 1997 - December 31, 2002

MERIT CAPITAL MANAGEMENT, L.L.C.

RIA
CRD#: 117046
SAMMAMISH, WA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(5/21/2021)
RR
California
(5/12/2021)
RR
Connecticut
(5/12/2021)
RR
Florida
(5/12/2021)
RR
Illinois
(5/12/2021)
RR
Massachusetts
(5/12/2021)
RR
New York
(5/12/2021)
RR
Washington
(5/12/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 11/14/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/30/1996
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/1/2018
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/10/1996
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LANDOLT SECURITIES, INC.
FISN | TORII ASSET MANAGEMENT | TK CHEN FINANCIAL SERVICES LLC | THE WEALTH PROTECTION GROUP LLC | THE WEALTH PROTECTION GROUP | LESLIE FINANCIAL LLC | LANDOLT SECURITIES, INC.

CRD#: 28352 / SEC#: , 8-43645

Illinois
Registered Investment Advisory firm - SEC (10/10/2006 Approved)
Indiana
Registered Investment Advisory firm - SEC (3/23/2020 Approved)
North Carolina
Registered Investment Advisory firm - SEC (8/16/2017 Approved)
Ohio
Registered Investment Advisory firm - SEC (7/6/2017 Approved)
Texas
Registered Investment Advisory firm - SEC (4/28/2020 Approved)
Wisconsin
Registered Investment Advisory firm - SEC (3/26/2002 Approved)
Wyoming
Registered Investment Advisory firm - SEC (7/25/2017 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
900 North Shore Drive Suite 279, Lake Bluff, IL 60044
Mailing Address
900 North Shore Drive Suite 279, Lake Bluff, IL 60044
Phone number
(847) 838-5151
Established
Wisconsin since 11/09/1989
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
11

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
MCKIERNAN, DONALD TRENDLEYCEO, CO-CCO, & FINOP1305965
MCKIERNAN, MATTHEWCHIEF FINANCIAL OFFICER7006128
REINHARD, TYLER JOHNCOO / CO-CCO6366204

Regulatory assets under management

Total Number of Accounts279
AUM (Assets Under Management)$ 105,626,273

Disclosures

Regulatory Event4

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.

Company Information

LANDOLT SECURITIES, INC.

CRD#: 28352Lake Bluff, IL 60044

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