Wayne Adam Fingerman
Professional Summary
Wayne Adam Fingerman is a registered financial advisor currently at PENSERRA SECURITIES, LLC located in Orinda, California. Wayne is registered as a RR (Registered Representative) and started their career in finance in 1990. Wayne has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
PENSERRA SECURITIES | PENSERRA SECURITIES, LLC
Contact Information
Main Address
4 Orinda Way Suite 100-a, Orinda, CA 94563Mailing Address
4 Orinda Way Suite 100-a, Orinda, CA 94563Phone Number
(646) 459-0581Established
New York since 02/27/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (17 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(4/4/2013)
(11/18/2015)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Wayne Adam Fingerman's CRS (Customer Relationship Summary).
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