Wayne J. Powers
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 J Powers, who also goes by Wayne Joseph Powers, Wayne Powers, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1994. Wayne had worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2024 - December 19, 2025
UBS SECURITIES LLC
January 15, 2020 - May 31, 2025
CREDIT SUISSE SECURITIES (USA) LLC
September 5, 2014 - February 23, 2017
PRIME DEALER SERVICES CORP.
September 5, 2014 - February 23, 2017
MORGAN STANLEY DISTRIBUTION, INC.
September 5, 2014 - February 23, 2017
MORGAN STANLEY
May 23, 2007 - June 18, 2019
MORGAN STANLEY & CO. LLC
September 30, 2004 - March 6, 2007
SANFORD C. BERNSTEIN & CO., LLC
November 24, 2003 - August 18, 2004
NOMURA SECURITIES INTERNATIONAL, INC.
January 7, 1997 - March 18, 1999
NOMURA SECURITIES INTERNATIONAL, INC.
July 10, 1996 - October 28, 1996
IDS LIFE INSURANCE COMPANY
July 10, 1996 - October 28, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
April 4, 1994 - July 17, 1995
SALOMON BROTHERS 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 99TO
Date: 10/16/2023
Operations Professional ExaminationCurrent Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MILLER, MAURA ANNE | CHIEF COMPLIANCE OFFICER | 4444187 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 309 |
| Civil Event | 4 |
| Arbitration | 4 |
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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