Wayne A. Seaton
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 Andrew Seaton was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1994. Wayne had worked at 9 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 52TO, Series 50, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2025 - May 9, 2025
ROCKFLEET FINANCIAL SERVICES, INC
March 19, 2019 - September 17, 2021
ROCKFLEET FINANCIAL SERVICES, INC
October 13, 2015 - September 22, 2017
JANNEY MONTGOMERY SCOTT LLC
August 4, 2015 - November 9, 2015
OXFORD CAPITAL, LLC
July 21, 2009 - August 5, 2014
WELLS FARGO SECURITIES, LLC
February 22, 2005 - July 22, 2009
M. R. BEAL & COMPANY
February 27, 1997 - March 3, 2005
J.P. MORGAN SECURITIES LLC
July 8, 1996 - January 22, 1997
ADVEST, INC.
February 20, 1995 - March 20, 1996
J.P. MORGAN SECURITIES INC.
July 18, 1994 - April 5, 1995
UBS FINANCIAL SERVICES 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
Series 7TO
Date: 2/17/2024
General Securities Representative ExaminationSeries 79TO
Date: 2/17/2024
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 2/17/2024
Municipal Securities Representative ExaminationCurrent Firm
ROCKFLEET FINANCIAL SERVICES, INC
CRD#: 149325 / SEC#: , 8-68139
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CORRIGAN, CATHERINE MARY | PRESIDENT, CEO, CHIEF OPERATIONS OFFICER, FINOP, CCO | 1869713 |
| ROCKFLEET FINANCIAL SERVICES INC 401K PLAN | PROXY OWNER | |
| ROCKFLEET INVESTOR PARTNERS II L.P. | PROXY OWNER | |
| ROCKFLEET INVESTOR PARTNERS L.P. | PROXY OWNER |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 450,000 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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