Wayne R. Botz

LCI ADVISORS

ST. LOUIS, MO

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CRD#: 2122674

Professional summary

Wayne Ray Botz is a registered financial advisor currently at LCI ADVISORS located in St. Louis, Missouri.

Wayne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Wayne has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Wayne Ray Botz'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®

None

Experience

Current

December 22, 2008 - Present

LCI ADVISORS

RIA

CRD#: 122383

ST. LOUIS, MO

Past

December 1, 1995 - December 26, 2008

STIFEL INDEPENDENT ADVISORS, LLC

RIA

CRD#: 28218

ST LOUIS, MO

Past

November 6, 1995 - December 26, 2008

STIFEL INDEPENDENT ADVISORS, LLC

CRD#: 28218

ST LOUIS, MO

Past

March 12, 1991 - November 7, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Missouri
(12/22/2008)

IAR

Washington
(7/6/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/24/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/28/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/11/1991

General Securities Representative Examination

Current Firm

LCI ADVISORS

LCA INVESTMENTS | LEWIS & CLARK ADVISORS, LLC | LCI ADVISORS

CRD#: 122383 / SEC#:

Florida

Registered Investment Advisory firm - (10/8/2024 Approved)

Minnesota

Registered Investment Advisory firm - (11/21/2024 Terminated)

Missouri

Registered Investment Advisory firm - (9/16/2002 Approved)

Oklahoma

Registered Investment Advisory firm - (10/4/2022 Approved)

Pennsylvania

Registered Investment Advisory firm - (12/14/2016 Terminated)

Washington

Registered Investment Advisory firm - (7/29/2011 Approved)

Wisconsin

Registered Investment Advisory firm - (12/15/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Tulsa, OK

Mailing Address

Phone number

(314) 288-6561

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	91
AUM (Assets Under Management)	$ 51,362,915

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.

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Wayne R. Botz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Ray Botz's CRS (Customer Relationship Summary).

Certified licenses

Experience

LCI ADVISORS

STIFEL INDEPENDENT ADVISORS, LLC

STIFEL INDEPENDENT ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 9/24/2007

Series 63

Date: 3/28/1991

Series 7

Date: 3/11/1991

Current Firm

LCI ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LCI ADVISORS

TRUST BUT VERIFY

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