Wayne A. Wheatley
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 Alan Wheatley was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1988. Wayne had worked at 8 firms and has passed the Series 63, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2004 - June 8, 2012
CFD INVESTMENTS, INC.
November 6, 2000 - October 18, 2002
SECU BROKERAGE SERVICES
July 2, 1998 - November 6, 2000
WALNUT STREET SECURITIES, INC.
April 18, 1995 - June 8, 1998
LPL FINANCIAL LLC
December 17, 1993 - March 2, 1995
THE HUNTINGTON INVESTMENT COMPANY
August 12, 1992 - January 1, 1994
MARKETING ONE SECURITIES, INC.
March 9, 1992 - November 12, 1992
ROBERT THOMAS SECURITIES, INC
February 24, 1988 - August 26, 1991
UNIFIED FINANCIAL SECURITIES, LLC
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
Current Firm
CFD INVESTMENTS, INC.
CRD#: 25427 / SEC#: , 8-41727
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
| Regulatory Event | 8 |
| Bond | 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.
