Wayne R. Kanter
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 Robert Kanter was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1992. Wayne had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2014 - November 25, 2014
AEON CAPITAL INC
July 13, 2009 - October 26, 2012
THE INVESTMENT CENTER, INC.
September 18, 2003 - July 23, 2009
SECURITIES AMERICA, INC.
March 31, 2003 - September 8, 2003
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
May 23, 2001 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
March 23, 1998 - May 16, 2001
LASALLE FINANCIAL SERVICES, INC.
January 2, 1998 - March 23, 1998
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
January 4, 1997 - January 1, 1998
AEGON USA SECURITIES INC.
January 16, 1995 - December 23, 1996
MESIROW FINANCIAL, INC.
December 8, 1993 - January 23, 1995
LEXINGTON SECURITIES, INC.
May 26, 1992 - December 3, 1993
CHATFIELD DEAN & CO., INC.
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
AEON CAPITAL INC
CRD#: 164004 / SEC#: , 8-69080
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEON CAPITAL MARKETS, LLC | OWNER | |
| MALLIOS, DEMETRIOS | OWNER - CCO | 3169758 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 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.
