Wayne A. Harkleroad
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 Albon Harkleroad, who also goes by Wayne Aldon Harkleroad, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1967. Wayne had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 1 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
June 4, 2012 - May 20, 2024
CAPITAL ANALYSTS
June 1, 2012 - May 20, 2024
LINCOLN INVESTMENT
June 1, 2012 - May 20, 2024
LINCOLN INVESTMENT
March 8, 1998 - June 1, 2012
CINCINNATI ANALYSTS, INC.
March 28, 1985 - June 1, 2012
CINCINNATI ANALYSTS, INC.
May 10, 1984 - February 22, 1985
SIGNATOR INVESTORS, INC.
October 16, 1967 - January 27, 1984
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 10/3/1967
Registered Representative ExaminationCurrent Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
Red Flags
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