Wayne A. Wurtsbaugh
Professional summary
Wayne Alan Wurtsbaugh is a registered financial professional currently at AQUAS FINANCIAL, LLC located in Plano, Texas.
Wayne is registered as a RR (Registered Representative) and started their career in finance in 1995. Wayne has worked at 6 firms and has passed the Series 63, Series 82TO, Series 6TO, Series 22TO, Series 99TO, Series 7TO, SIE, Series 3, Series 7, Series 39, Series 26, Series 14, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Wayne Alan Wurtsbaugh's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 12, 2021 - Present
AQUAS FINANCIAL, LLC
Office #1: 5905 Legacy Drive A500, Plano, TX 75024-4118March 31, 2004 - April 28, 2005
BANC OF AMERICA SECURITIES LLC
June 20, 2002 - August 20, 2002
NT SECURITIES LLC
June 8, 2000 - September 6, 2000
MATRIX EXECUTIONS, LLC
June 3, 1997 - June 9, 1998
INVESTEC SECURITIES CORPORATION
September 5, 1995 - April 30, 1997
WFG INVESTMENTS, 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
(9/3/2021)
Exams
Series 82TO
Date: 11/20/2024
Limited Representative-Private Securities OfferingsSeries 6TO
Date: 11/20/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 22TO
Date: 11/20/2024
Direct Participation Programs Representative ExaminationSeries 99TO
Date: 6/28/2023
Operations Professional ExaminationSeries 7TO
Date: 3/1/2021
General Securities Representative ExaminationFINRA
Current Firm
AQUAS FINANCIAL, LLC
CRD#: 311274 / SEC#: , 8-70610
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAIN STREET TRUST | SHAREHOLDER | |
| WAYNE WURTSBAUGH 2018 FAMILY DYNASTY TRUST | SHAREHOLDER | |
| ALSEDEK, STEVEN MICHAEL | CHIEF COMPLIANCE OFFICER (CCO), CHIEF RISK OFFICER (CRO), ANTI-MONEY LAUNDERING OFFICER (AMLO) | 2520569 |
| ALSEDEK, STEVEN MICHAEL | COO, POO | 2520569 |
| ALSEDEK, STEVEN MICHAEL | CHIEF FINANCIAL OFFICER (CFO), FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO) | 2520569 |
| JANOWSKI, JEFF | HEAD OF ELECTRONIC TRADING / MARGIN PRINCIPAL / REGISTERED OPTIONS PRINCIPAL / MUNICIPAL SECURITIES PRINCIPAL | 5703929 |
| WURTSBAUGH, WAYNE ALAN | CHIEF TECHNOLOGY OFFICER | 2629833 |
| WURTSBAUGH, WAYNE ALAN | TRUSTEE / CHIEF EXECUTIVE OFFICER | 2629833 |
Red Flags
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Company Information
AQUAS FINANCIAL, LLC
CRD#: 311274Plano, TX 75024-4118TRUST BUT VERIFY
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