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WW

Warner W. Wayne

WEALTH EFFECTS
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 2751786
WW

Professional summary

Warner Whitman Wayne III, who also goes by Chip Wayne III, is a registered financial advisor currently at WEALTH EFFECTS located in Boston, Massachusetts.

Warner is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Warner has worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Chip Wayne Iii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Great Blue Hills Power Squadron; Non-Investment Related; Hingham, MA; Safe Boating Education; Executive Board Member - Secretary; 10/2012; Appx. 5 Hrs/Mnth; Serves as secretary.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Warner Whitman Wayne III's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 29, 2022 - Present

WEALTH EFFECTS

Office #1: 265 Franklin Street Suite 1702, Boston, MA 02110
RIA
CRD#: 315244
BOSTON, MA
Past

August 6, 2021 - October 18, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Hingham, MA
Past

August 6, 2021 - October 18, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Hingham, MA
Past

March 24, 2021 - August 11, 2021

B. RILEY WEALTH ADVISORS, INC.

RIA
CRD#: 115927
BOSTON, MA
Past

March 23, 2021 - August 11, 2021

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOSTON, MA
Past

September 21, 2005 - April 13, 2021

WINSLOW, EVANS & CROCKER, INC.

RIA
CRD#: 29686
BOSTON, MA
Past

June 8, 2005 - April 13, 2021

WINSLOW, EVANS & CROCKER, INC.

BD
CRD#: 29686
BOSTON, MA
Past

September 18, 2003 - June 8, 2005

COMPASS SECURITIES CORPORATION

BD
CRD#: 16168
BRAINTREE, MA
Past

June 24, 2002 - September 9, 2003

NEW ENGLAND SECURITIES

RIA
CRD#: 615
WALTHAM, MA
Past

May 26, 1998 - September 9, 2003

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

June 28, 1996 - May 4, 1998

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 28, 1996 - May 4, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WE
WEALTH EFFECTS
HUDSON RIVER GROUP | WEALTH EFFECTS LLC | WEALTH EFFECTS

CRD#: 315244 / SEC#: 801-121699

RIA
Registered Investment Advisory firm - (7/7/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Massachusetts
(11/29/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/3/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/18/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/27/1996
General Securities Representative Examination

Current Firm

WE
WEALTH EFFECTS
HUDSON RIVER GROUP | WEALTH EFFECTS LLC | WEALTH EFFECTS

CRD#: 315244 / SEC#: 801-121699

RIA
Registered Investment Advisory firm - (7/7/2021 Approved)
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Contact information

Main Address
265 Franklin Street Suite 1702, Boston, MA 02110
Mailing Address
Phone number
(617) 465-2560
Established
Firm type
Fiscal year end
# of Employees
16

SEC notice filing (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WEALTH EFFECTS DISCLOSURE BROCHURE (4/4/2025)

Regulatory assets under management

Total Number of Accounts969
AUM (Assets Under Management)$ 405,838,000

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.

Company Information

WEALTH EFFECTS

CRD#: 315244Boston, MA 02110

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