WW
Wayne W. Wales
CREWS & ASSOCIATES
Palm Beach Gardens, FL
Some features on this profile are disabled
CRD#: 2101522
WW
Professional summary
Wayne Wesley Wales, who also goes by Wayne Wales, is a registered financial professional currently at CREWS & ASSOCIATES, INC. located in Palm Beach Gardens, Florida.
Wayne is registered as a RR (Registered Representative) and started their career in finance in 1992. Wayne has worked at 8 firms and has passed the Series 63, Series 72, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Wayne Wales
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Wayne Wesley Wales's 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®
NoneExperience
Current
November 16, 2022 - Present
CREWS & ASSOCIATES, INC.
RIA
BD
CRD#: 8052
Palm Beach Gardens, FL
Past
May 6, 2010 - November 15, 2022
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
PALM BEACH GARDENS, FL
Past
December 1, 2005 - May 5, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
BALTIMORE, MD
Past
April 5, 1999 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
January 20, 1999 - April 19, 1999
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
September 5, 1996 - January 22, 1999
HOPPER SOLIDAY & CO., INC.
BD
CRD#: 20838
LANCASTER, PA
Past
July 25, 1995 - November 11, 1996
NATIVE NATIONS SECURITIES, INC.
BD
CRD#: 334
JERSEY CITY, NJ
Past
May 3, 1995 - July 24, 1995
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
June 11, 1992 - January 14, 1994
NATIVE NATIONS SECURITIES, INC.
BD
CRD#: 334
JERSEY CITY, NJ
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".
CREWS & ASSOCIATES, INC.
CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
RIA
Registered Investment Advisory firm - SEC (10/10/2023 Approved)Arkansas
Registered Investment Advisory firm - SEC (8/24/2006 Approved)California
Registered Investment Advisory firm - SEC (3/24/2021 Approved)Louisiana
Registered Investment Advisory firm - SEC (2/14/2019 Approved)Oklahoma
Registered Investment Advisory firm - SEC (4/13/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Arkansas(11/16/2022)
RR
California(11/16/2022)
RR
Colorado(11/16/2022)
RR
Connecticut(11/16/2022)
RR
District of Columbia(11/16/2022)
RR
Florida(11/16/2022)
RR
Georgia(11/16/2022)
RR
Illinois(11/16/2022)
RR
Massachusetts(11/16/2022)
RR
New Jersey(3/21/2025)
RR
New York(11/16/2022)
RR
North Carolina(11/16/2022)
RR
Ohio(11/16/2022)
RR
Pennsylvania(11/16/2022)
RR
Texas(11/16/2022)
RR
Virginia(11/16/2022)
RR
Wisconsin(11/16/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CREWS & ASSOCIATES, INC.
CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
RIA
Registered Investment Advisory firm - SEC (10/10/2023 Approved)Arkansas
Registered Investment Advisory firm - SEC (8/24/2006 Approved)California
Registered Investment Advisory firm - SEC (3/24/2021 Approved)Louisiana
Registered Investment Advisory firm - SEC (2/14/2019 Approved)Oklahoma
Registered Investment Advisory firm - SEC (4/13/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
521 President Clinton Avenue Suite 800, Little Rock, AR 72201
Mailing Address
P.o. Box 1696, Little Rock, AR 72203-1696
Phone number
(501) 907-2000
Established
Arkansas since 07/06/1979
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
130
SEC notice filing (18 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREWS CORE HOLDING COMPANY | OWNER | |
| BEARDSLEY, SCOTT ARTHUR | SECRETARY OF THE BOARD | 2349866 |
| BUMPERS, JOSEPH PARROTT | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 4336359 |
| CLAY, DENNIS CHARLES | CHIEF EXECUTIVE OFFICER, DIRECTOR, EXECUTIVE COMMITTEE | 1233857 |
| JONES, JAMES STEPHEN | PRESIDENT, DIRECTOR | 502536 |
| MEYER, DAMON CHRISTIAN | CHIEF COMPLIANCE OFFICER | 4133916 |
Regulatory assets under management
| Total Number of Accounts | 336 |
| AUM (Assets Under Management) | $ 149,386,233 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 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.
