Wendal D. Payne
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.
Wendal Davison Payne, who also goes by Dave Payne, was a registered financial professional .
Wendal is a previously registered financial professional and started their career in finance in 1993. Wendal had worked at 10 firms and has passed the Series 63, SIE and Series 6 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, 2007 - May 14, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 29, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 29, 2006 - August 30, 2007
MSI FINANCIAL SERVICES, INC.
January 18, 2005 - March 29, 2006
PRINCIPAL SECURITIES, INC.
June 24, 2003 - January 7, 2005
HORNOR, TOWNSEND & KENT, LLC
June 11, 2001 - July 1, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 11, 2001 - July 1, 2003
OSAIC FA, INC.
March 9, 2000 - July 9, 2001
PRINCIPAL SECURITIES, INC.
September 2, 1998 - July 2, 2001
CETERA WEALTH SERVICES, LLC
December 23, 1996 - September 9, 1998
MSI FINANCIAL SERVICES, INC.
December 18, 1996 - September 9, 1998
METROPOLITAN LIFE INSURANCE COMPANY
December 4, 1995 - October 16, 1996
CETERA WEALTH SERVICES, LLC
February 24, 1995 - November 20, 1996
HIMCO DISTRIBUTION SERVICES COMPANY
July 30, 1993 - January 30, 1995
JOHN HANCOCK DISTRIBUTORS LLC
April 14, 1993 - July 14, 1993
HORNOR, TOWNSEND & KENT, LLC
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
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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