Wayne D. Clements
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 Douglas Clements, who also goes by Wayne Douglas Clements, Wayne Clements, Wayne D Clements, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1997. Wayne had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2021 - January 21, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 9, 2021 - January 18, 2022
FIDELITY BROKERAGE SERVICES LLC
July 14, 2020 - January 11, 2021
TD AMERITRADE, INC.
June 30, 2020 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 25, 2020 - January 11, 2021
TD AMERITRADE, INC.
October 1, 2019 - June 22, 2020
WELLS FARGO CLEARING SERVICES, LLC
September 30, 2019 - June 22, 2020
WELLS FARGO CLEARING SERVICES, LLC
May 14, 2018 - July 23, 2019
J.P. MORGAN SECURITIES LLC
June 14, 2017 - March 7, 2018
SCOTTRADE INVESTMENT MANAGEMENT
October 29, 2004 - March 7, 2018
SCOTTRADE, INC.
February 4, 1997 - October 30, 2002
TD AMERITRADE, 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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
