Wayne L. Locke
CETERA INVESTMENT ADVISERS LLC
NEW MILFORD, CT
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CRD#: 1682299
Professional summary
Wayne Leroy Locke JR, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New Milford, Connecticut and CETERA WEALTH SERVICES, LLC located in New Milford, Connecticut.
Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Wayne has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 62, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 05/2022; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, FIXED ANNUITIES, AND LONG-TERM CARE 2) NAME OF OTHER BUSINESS: PROSPECT HILL ADVISORS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/2023, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES & SALE & SERVICE OF FIXED INSURANCE; 3) NAME OF OTHER BUSINESS: NEW MILFORD CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: 11 RAILROAD ST, NEW MILFORD, CT 06776; NATURE OF BUSINESS: BOARD; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS, SUPPORTS AND PROMOTES LOCAL BUSINESSES; 4) NAME OF OTHER BUSINESS: FINANCIAL PLANNING CONSULTANTS LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: OWNER/MANAGING MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DBA FOR BUSINESS EXPENSE MANAGEMENT; 5) NAME OF OTHER BUSINESS: STONEGATE PROPERTIES LLC; INVESTMENT RELATED: NO; ADDRESS: 158 PROSPECT HILL RD NEW MILFORD, CT 06776; NATURE OF BUSINESS: REAL ESTATE; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: OWNER/MANAGING MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MAMAGE AND MAINTAIN INVESTMENT PROPERTY;
CRS (Client Relationship Summary) - RIA
Click below to view Wayne Leroy Locke JR's 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®
CFP®
Start date: 2005
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 158 Prospect Hill Rd, New Milford, CT 06776RIA
CRD#: 105644
NEW MILFORD, CT
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
NEW MILFORD, CT
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
DANBURY, CT
Past
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
DANBURY, CT
Past
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
DANBURY, CT
Past
November 12, 2001 - December 12, 2022
MATSON FINANCIAL ADVISORS, INC.
RIA
CRD#: 122480
DANBURY, CT
Past
January 5, 2001 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
RIA
CRD#: 8503
DANBURY, CT
Past
January 4, 2001 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
June 4, 1987 - January 5, 2001
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(9/3/2013)
RR
California(9/3/2013)
RR
Colorado(9/3/2013)
RR
Connecticut(9/3/2013)
IAR
Connecticut(6/29/2023)
RR
Delaware(7/21/2022)
RR
Florida(9/3/2013)
RR
Georgia(11/27/2018)
RR
Maryland(9/3/2013)
RR
Massachusetts(9/3/2013)
RR
Missouri(4/30/2021)
RR
New Jersey(9/3/2013)
RR
New Mexico(1/6/2014)
RR
New York(9/3/2013)
RR
North Carolina(9/3/2013)
RR
Oregon(5/25/2023)
RR
Pennsylvania(9/3/2013)
RR
South Carolina(9/3/2013)
RR
Tennessee(11/8/2016)
RR
Texas(9/3/2013)
IAR
Texas(6/29/2023)
RR
Utah(11/29/2022)
RR
Virginia(9/3/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 8/26/2001
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
