Wayne Cassaday

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CRD#: 2871600

Professional summary

Wayne Cassaday was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Wayne is a previously registered financial advisor and started their career in finance in 2006. Prior to being barred, Wayne had worked at 1 firm, which includes BATTERY WEALTH MANAGEMENT INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 25, 2006 - December 31, 2007

BATTERY WEALTH MANAGEMENT, INC.

RIA

CRD#: 136325

MOUNT PLEASANT, SC

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/19/1997

Uniform Investment Adviser Law Examination

Current firm

No current employment

Red Flags

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