Wayne C. Plewniak
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 Clarke Plewniak, who also goes by Wayne C. Plewniak, Wayne C. Plewniak, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1993. Wayne had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2006 - December 31, 2019
G.RESEARCH, LLC
September 10, 2002 - November 2, 2005
NEUBERGER BERMAN BD LLC
September 10, 2002 - November 2, 2005
NEUBERGER BERMAN MANAGEMENT LLC
January 22, 2002 - September 6, 2002
LIPPER OFFSHORE CONVERTIBLES, L.P.
January 22, 2002 - September 6, 2002
LIPPER CONVERTIBLES, L.P.
January 22, 2002 - September 6, 2002
LIPPER CONVERTIBLES SERIES II, L.P.
April 22, 1993 - September 6, 2002
LIPPER & COMPANY, L.P.
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
Current Firm
G.RESEARCH, LLC
CRD#: 7353 / SEC#: , 8-21373
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN GROUP HOLDING CO. | PARENT COMPANY/OWNER | |
| AMABILE, VINCENT M | PRESIDENT | 4356758 |
| FERNANDEZ, JOSEPH LOUIS | FINANCIAL AND OPERATIONS PRINCIPAL | 1968118 |
| GOLDMAN, DAVID MARC | ASSISTANT SECRETARY | 3191963 |
| GREENHAW, PAUL DANIEL | CHIEF COMPLIANCE OFFICER | 1820935 |
| MCGINITY, CORNELIUS VINCENT | OFFICE OF THE CHAIRMAN | 1706960 |
Disclosures
| Regulatory Event | 5 |
| 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.
