Wayne F. Currie
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 Franklin Currie was a registered financial advisor .
Wayne is a previously registered financial advisor and started their career in finance in 1999. Wayne had worked at 5 firms and has passed the Series 66 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
September 12, 2003 - December 31, 2004
XELAN FINANCIAL PLANNING, INC.
March 28, 2003 - June 16, 2003
THOMAS GROUP CAPITAL
January 9, 2002 - February 24, 2003
MIDSOUTH CAPITAL, INC.
August 23, 2000 - February 6, 2002
PRUDENTIAL EQUITY GROUP, LLC
March 18, 1999 - August 7, 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
No current employment
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.
