Wayne D. Crary
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 Dean Crary, ChFC®, who also goes by Wayne Crary, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1989. Wayne had worked at 11 firms and has passed the Series 66, Series 6TO, SIE, Series 7, Series 6, Series 51 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
March 16, 2022 - July 17, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 14, 2022 - July 14, 2023
FIDELITY BROKERAGE SERVICES LLC
June 17, 2019 - December 31, 2020
SPC
June 17, 2019 - April 29, 2021
PARKLAND SECURITIES, LLC
September 5, 2018 - April 22, 2019
PRUCO SECURITIES, LLC.
August 23, 2018 - April 22, 2019
PRUCO SECURITIES, LLC.
March 5, 2018 - August 10, 2018
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 1, 2018 - August 10, 2018
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 17, 2016 - January 23, 2018
ALLSTATE FINANCIAL ADVISORS, LLC
May 17, 2016 - January 23, 2018
ALLSTATE FINANCIAL SERVICES, LLC
August 5, 2015 - May 11, 2016
PRINCIPAL SECURITIES, INC.
August 4, 2015 - May 11, 2016
PRINCIPAL SECURITIES, INC.
January 5, 2015 - August 4, 2015
MML INVESTORS SERVICES, LLC
December 2, 2014 - August 4, 2015
MML INVESTORS SERVICES, LLC
January 19, 2007 - December 3, 2014
THRIVENT INVESTMENT MANAGEMENT INC.
November 15, 2002 - December 3, 2014
THRIVENT INVESTMENT MANAGEMENT INC.
December 18, 1989 - June 3, 1991
THRIVENT INVESTMENT MANAGEMENT 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
Series 6TO
Date: 11/16/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
