David B. Wayne
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.
David Brian Wayne was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 5 firms and has passed the Series 65, 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
May 4, 2019 - August 6, 2020
SMH CAPITAL INVESTMENTS LLC
April 13, 2017 - August 20, 2025
SMH CAPITAL ADVISORS LLC
April 13, 2017 - January 2, 2019
SANDERS MORRIS LLC
April 9, 2009 - May 13, 2015
SMH CAPITAL ADVISORS LLC
April 1, 2009 - April 9, 2009
SANDERS MORRIS LLC
June 18, 2008 - May 13, 2015
SANDERS MORRIS LLC
January 4, 2005 - May 27, 2008
FORESIDE FUND SERVICES, LLC
June 26, 2000 - December 31, 2004
MOMENTUM INDEPENDENT NETWORK 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
SMH CAPITAL INVESTMENTS LLC
CRD#: 24535 / SEC#: , 8-40904
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOYERS ORGANIZATION LLC | OWNER | |
| MOYERS, DWAYNE ALAN | CEO/CCO/FINOP | 1850654 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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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