Wayne G. Fraser
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 Garfield Fraser was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 2000. Wayne had worked at 7 firms and has passed the Series 63 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
August 27, 2012 - November 19, 2013
LEGEND SECURITIES, INC.
January 25, 2010 - September 14, 2010
KOVACK SECURITIES INC.
November 14, 2008 - November 3, 2009
IFS SECURITIES
August 16, 2005 - October 27, 2008
BASIC INVESTORS INC.
March 19, 2004 - September 12, 2005
FIRST HUDSON FINANCIAL GROUP, INC.
November 15, 2002 - April 5, 2004
GRANTA CAPITAL GROUP LLC
March 6, 2000 - November 18, 2002
THE THORNWATER COMPANY, L.P.
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
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
