Wayne W. Parris
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 Winston Parris 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 65, Series 63, Series 7 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
March 5, 2012 - October 15, 2013
TD AMERITRADE, INC.
February 21, 2012 - October 15, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 30, 2012 - October 15, 2013
TD AMERITRADE, INC.
April 27, 2004 - November 16, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
April 27, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
April 27, 2004 - November 16, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
March 28, 2003 - July 28, 2003
ACORN FINANCIAL ADVISORY SERVICES, INC.
January 23, 2002 - July 7, 2003
IFG NETWORK SECURITIES, INC.
March 22, 2000 - December 31, 2001
VOYA FINANCIAL ADVISORS, 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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