Wayne E. Perry
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 Edward Perry, CIMA® was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 2000. Wayne had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2015 - May 5, 2023
ALPS DISTRIBUTORS, INC.
July 1, 2013 - January 6, 2015
HARRISDIRECT LLC
May 1, 2013 - January 6, 2015
E*TRADE SECURITIES LLC
April 10, 2012 - April 26, 2013
PATRICK CAPITAL MARKETS, LLC
December 8, 2004 - October 19, 2010
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
January 16, 2004 - December 3, 2004
CHASE INVESTMENT SERVICES CORP.
January 15, 2004 - December 3, 2004
CHASE INVESTMENT SERVICES CORP.
November 17, 2003 - January 8, 2004
BNY MELLON SECURITIES CORPORATION
May 15, 2000 - January 8, 2004
BNY MELLON SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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