Wayne W. Malone
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 Wear Malone, who also goes by Wayne W Malone, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1987. Wayne had worked at 8 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2003 - November 5, 2024
CARTER, TERRY & COMPANY, INC.
January 11, 2002 - November 7, 2003
NEXT FINANCIAL GROUP, INC.
August 11, 1998 - January 10, 2002
J.P. TURNER & COMPANY, L.L.C.
February 14, 1995 - July 21, 1998
ARGENT SECURITIES, INC.
December 3, 1993 - February 21, 1995
BARRON CHASE SECURITIES, INC.
May 11, 1993 - November 23, 1993
RESURGENS CAPITAL & INVESTMENTS, INC.
February 1, 1988 - April 27, 1993
HERMITAGE CAPITAL CORPORATION
February 25, 1987 - February 8, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CARTER, TERRY & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CARTER, TERRY & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 185 |
| AUM (Assets Under Management) | $ 111,326,459 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
