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WW

Wayne W. Wales

LOOP CAPITAL MARKETS LLC
Chicago, IL 60605
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 LOOP CAPITAL MARKETS LLC located in Chicago, Illinois.

Wayne is registered as a RR (Registered Representative) and started their career in finance in 1992. Wayne has worked at 9 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wayne Wesley Wales'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

January 20, 2026 - Present

LOOP CAPITAL MARKETS LLC

Office #1: 425 S. Financial Pl., Ste. 2700, Chicago, IL 60605
RIA
BD
CRD#: 43098
Chicago, IL
Past

November 16, 2022 - January 16, 2026

CREWS & ASSOCIATES, INC.

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

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
Florida
(1/20/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 8/5/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/11/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/31/1996
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

LC
LOOP CAPITAL MARKETS LLC
LOOP CAPITAL MARKETS L.L.C. | LOOP CAPITAL MARKETS LLC

CRD#: 43098 / SEC#: , 8-50140

Illinois
Registered Investment Advisory firm - SEC (4/4/2012 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Mailing Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Phone number
(312) 913-4900
Established
Delaware since 06/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
250

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
LOOP CAPITAL, LLCOWNER
BERKELEY, STEPHEN SIDNEYREGULATORY COUNSEL AND CCO5616433
LUPKIN, IRA ADAMCHIEF FINANCIAL OFFICER4463446
REYNOLDS, JAMES JR.CHIEF EXECUTIVE OFFICER1162337
SULLIVAN, ANTHONYCHIEF OPERATING OFFICER5995264

Disclosures

Regulatory Event8

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.

Company Information

LOOP CAPITAL MARKETS LLC

CRD#: 43098Chicago, IL 60605

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