Mark M. Wayne
Professional summary
Mark Michael Wayne was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial advisor and started their career in finance in 1990. Prior to being barred, Mark had worked at 5 firms, which includes FREEDOM ONE INVESTMENT ADVISORS INC., CAPFINANCIAL SECURITIES LLC., SENTINEL SECURITIES LLC., SIGMA FINANCIAL CORPORATION, ARAGON FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2013 - April 1, 2013
FREEDOM ONE INVESTMENT ADVISORS, INC.
March 14, 2013 - January 9, 2014
CAPFINANCIAL SECURITIES, LLC.
March 1, 2013 - January 9, 2014
CAPFINANCIAL SECURITIES, LLC.
February 8, 2010 - January 31, 2013
FREEDOM ONE INVESTMENT ADVISORS, INC.
March 25, 2009 - October 4, 2011
SENTINEL SECURITIES, LLC.
April 10, 2006 - October 20, 2006
SIGMA FINANCIAL CORPORATION
January 4, 1990 - December 31, 1994
ARAGON FINANCIAL SERVICES, INC.
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
FREEDOM ONE INVESTMENT ADVISORS, INC.
CRD#: 107627 / SEC#: 801-50702
Contact information
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.
