Brittany K. 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.
Brittany Kirstin Wayne, who also goes by Brittany Wayne, was a registered financial professional .
Brittany is a previously registered financial professional and started their career in finance in 2000. Brittany had worked at 5 firms and has passed the Series 7A and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2012 - March 14, 2017
DAG SECURITIES INC.
June 1, 2011 - February 29, 2012
RAYMOND C. FORBES & CO., INC.
March 5, 2009 - July 14, 2011
LUCID CAPITAL MARKETS, LLC
December 3, 2007 - February 27, 2009
RAYMOND C. FORBES & CO., INC.
March 5, 2007 - November 30, 2007
HYY FORBES, LLC
October 1, 2000 - April 29, 2001
R.H. POST, INC.
October 1, 2000 - February 23, 2007
R.H. POST, 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
Series 7A
Date: 1/29/2003
Floor Broker Representative ExamSeries 25
Date: 3/14/2000
NYSE Trading Assistant ExaminationCurrent Firm
DAG SECURITIES INC.
CRD#: 44376 / SEC#: , 8-50679
Contact information
Documents
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.
