Wayne C. Klatt

ALLSTATE FINANCIAL ADVISORS

Melville, NY 11747-3121

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CRD#: 1865145

Professional summary

Wayne Christopher Klatt is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Melville, New York and ALLSTATE FINANCIAL SERVICES, LLC located in Melville, New York.

Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Wayne has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 24 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.

WILTON POSITION: AGENT NATURE: THIS IS A LIFE INSURANCE COMPANY WHICH I RECEIVE TAILING COMMISSIONS INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2025 ADDRESS: 187 DANBURUY RD, WILTON CT 06897, United States DESCRIPTION: ALL I DO IS RECIEVE TRAILING COMMISSIONS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Christopher Klatt'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

November 6, 2020 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 35 Pinelawn Rd Ste 123, Melville, NY 11747-3121

RIA

CRD#: 109524

Melville, NY

Current

November 6, 2020 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 35 Pinelawn Rd Ste 123, Melville, NY 11747-3121

CRD#: 18272

Melville, NY

Past

April 4, 2018 - September 22, 2020

SIEBERT ADVISORNXT, LLC.

RIA

CRD#: 288572

Boca Raton, FL

Past

January 10, 2018 - September 21, 2020

MURIEL SIEBERT & CO., LLC

CRD#: 5376

Miami, FL

Past

May 11, 2016 - January 2, 2020

STOCKCROSS FINANCIAL SERVICES, INC.

RIA

CRD#: 6670

Miami, FL

Past

March 4, 2016 - January 2, 2020

STOCKCROSS FINANCIAL SERVICES, INC.

CRD#: 6670

Miami, FL

Past

April 9, 2007 - December 2, 2015

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

October 18, 2000 - April 26, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 4, 1998 - October 2, 2000

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

March 19, 1997 - May 27, 1998

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

October 11, 1995 - November 2, 1995

NATWEST SECURITIES CORPORATION

CRD#: 18238

NEW YORK, NY

Past

May 25, 1994 - October 5, 1995

NATWEST INTERNATIONAL SECURITIES INC.

CRD#: 26123

NEW YORK, NY

Past

November 27, 1992 - March 26, 1993

HERZOG, HEINE, GEDULD, LLC

CRD#: 2186

NEW YORK, NY

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".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 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.

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

New York
(11/7/2020)

IAR

New York
(7/26/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/11/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/9/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 9/17/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/23/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/2/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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.

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Wayne C. Klatt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Christopher Klatt's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

SIEBERT ADVISORNXT, LLC.

MURIEL SIEBERT & CO., LLC

STOCKCROSS FINANCIAL SERVICES, INC.

STOCKCROSS FINANCIAL SERVICES, INC.

CREDIT SUISSE SECURITIES (USA) LLC

CITIGROUP GLOBAL MARKETS INC.

PERSHING LLC

HSBC SECURITIES (USA) INC.

NATWEST SECURITIES CORPORATION

NATWEST INTERNATIONAL SECURITIES INC.

HERZOG, HEINE, GEDULD, LLC

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/11/2018

Series 63

Date: 12/9/2002

SIE

Date: 10/1/2018

Series 55

Date: 9/17/2002

Series 7

Date: 11/23/1992

Series 24

Date: 9/2/2012

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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