Wayne K. Heerspink
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 Kevin Heerspink was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1993. Wayne had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2009 - May 28, 2019
NEXT FINANCIAL GROUP, INC.
March 2, 2009 - May 28, 2019
NEXT FINANCIAL GROUP, INC.
October 5, 2007 - February 27, 2009
SII INVESTMENTS, INC.
October 5, 2007 - February 27, 2009
SII INVESTMENTS, INC.
April 2, 2007 - October 5, 2007
ON INVESTMENT MANAGEMENT CO
August 29, 2006 - January 24, 2007
ON INVESTMENT MANAGEMENT CO
May 26, 2006 - October 5, 2007
THE O.N. EQUITY SALES COMPANY
May 2, 2001 - May 5, 2006
WADDELL & REED
March 21, 2001 - May 5, 2006
WADDELL & REED
July 14, 1993 - December 31, 1994
WADDELL & REED
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
