Wayne E. Foltz
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 Emerson Foltz was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1996. Wayne had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2009 - October 24, 2017
SCF INVESTMENT ADVISORS, INC.
May 1, 2009 - October 24, 2017
SCF SECURITIES, INC.
March 3, 2004 - May 5, 2009
SII INVESTMENTS, INC.
March 3, 2004 - May 5, 2009
SII INVESTMENTS, INC.
September 12, 2000 - February 27, 2004
INVESTMENT CENTERS OF AMERICA, INC.
June 23, 2000 - February 27, 2004
INVESTMENT CENTERS OF AMERICA, INC.
September 13, 1996 - June 29, 2000
MORGAN STANLEY DW 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
Current Firm
SCF INVESTMENT ADVISORS, INC.
CRD#: 123608 / SEC#: 801-71206
Contact information
Regulatory assets under management
| Total Number of Accounts | 6,190 |
| AUM (Assets Under Management) | $ 1,349,597,453 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2024 | ||
| 06/28/2024 |
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.
