AW
Anthony Wayne
BTIG
New York, NY 10022
Some features on this profile are disabled
CRD#: 2785819
AW
Professional summary
Anthony Wayne, who also goes by Anthony Andrew Wayne, Anthony Wayne, is a registered financial professional currently at BTIG, LLC located in New York, New York.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 1999. Anthony has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Anthony Andrew Wayne | Anthony Wayne
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Anthony Wayne's 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®
NoneExperience
Current
April 18, 2017 - Present
BTIG, LLC
Office #1: Park Avenue Tower 65 East 55th Street, New York, NY 10022BD
CRD#: 122225
New York, NY
Past
April 26, 2004 - March 28, 2017
CITIZENS JMP SECURITIES, LLC
BD
CRD#: 22208
SAN FRANCISCO, CA
Past
August 20, 2002 - December 19, 2002
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
November 3, 2000 - July 10, 2002
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
October 25, 1999 - November 3, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/18/2017)
RR
Alaska(4/18/2017)
RR
Arizona(4/18/2017)
RR
Arkansas(4/18/2017)
RR
California(4/18/2017)
RR
Colorado(4/18/2017)
RR
Connecticut(4/18/2017)
RR
Delaware(4/18/2017)
RR
District of Columbia(4/18/2017)
RR
Florida(4/18/2017)
RR
Georgia(4/18/2017)
RR
Hawaii(4/18/2017)
RR
Idaho(4/18/2017)
RR
Illinois(4/18/2017)
RR
Indiana(4/18/2017)
RR
Iowa(4/18/2017)
RR
Kansas(4/18/2017)
RR
Kentucky(4/18/2017)
RR
Louisiana(4/18/2017)
RR
Maine(4/18/2017)
RR
Maryland(4/18/2017)
RR
Massachusetts(4/18/2017)
RR
Michigan(4/18/2017)
RR
Minnesota(4/18/2017)
RR
Mississippi(4/18/2017)
RR
Missouri(4/18/2017)
RR
Montana(4/18/2017)
RR
Nebraska(4/18/2017)
RR
Nevada(4/18/2017)
RR
New Hampshire(4/18/2017)
RR
New Jersey(4/18/2017)
RR
New Mexico(4/18/2017)
RR
New York(4/18/2017)
RR
North Carolina(4/19/2017)
RR
North Dakota(4/18/2017)
RR
Ohio(4/18/2017)
RR
Oklahoma(4/18/2017)
RR
Oregon(4/18/2017)
RR
Pennsylvania(4/18/2017)
RR
Rhode Island(4/18/2017)
RR
South Carolina(4/18/2017)
RR
South Dakota(4/18/2017)
RR
Texas(4/18/2017)
RR
Utah(4/18/2017)
RR
Vermont(4/18/2017)
RR
Virgin Islands(4/18/2017)
RR
Virginia(4/18/2017)
RR
Washington(4/18/2017)
RR
West Virginia(4/18/2017)
RR
Wisconsin(4/18/2017)
RR
Wyoming(4/18/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BL
BTIG, LLC
BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC
CRD#: 122225 / SEC#: , 8-65473
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Mailing Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Phone number
(415) 248-2200
Established
Delaware since 06/05/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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.
