Wayne T. Slappy

STEELPEAK WEALTH

Princeton, NJ

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CRD#: 4353938

Professional summary

Wayne Tai Slappy is a registered financial advisor currently at STEELPEAK WEALTH, LLC located in Princeton, New Jersey.

Wayne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Wayne has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

8/2012-PRESENT, VARIOUS INSURANCE CARRIERS FOR W&R INSURANCE AGENCIES, WOODLAND HILLS, CA, INSURANCE SALES, INSURANCE AGENT, INVESTMENT RELATED. 2/2013-PRESENT, TEAM REFERRAL NETWORK, LAVERNE, CA, NETWORK CHAPTER, CHAPTER PRESIDENT, NOT INVESTMENT RELATED, 20 HOURS/MONTH, 1 HOUR/DAY DURING SECURITIES TRADING HOURS. 7/2013-PRESENT, GREATER VAN NUYS ROTARY, NORTHRIDGE, CA, ROTARY CLUB, MEMBERSHIP CHAIR, NOT INVESTMENT RELATED, 20 HOURS/MONTH, 1 HOUR/DAY DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Tai Slappy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 13, 2015 - Present

STEELPEAK WEALTH, LLC

Office #2: 21650 Oxnard Street Suite 2300, Woodland Hills, CA 91367

RIA

CRD#: 165168

Princeton, NJ

Past

August 28, 2012 - November 20, 2015

WADDELL & REED

RIA

CRD#: 866

SHERMAN OAKS, CA

Past

August 17, 2012 - November 20, 2015

WADDELL & REED

CRD#: 866

SHERMAN OAKS, CA

Past

November 14, 2011 - June 4, 2012

NATIONAL PLANNING CORPORATION

CRD#: 29604

SUN VALLEY, CA

Past

January 1, 2009 - May 12, 2011

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

VISTA, CA

Past

March 12, 2001 - January 10, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

LOS ANGELES, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STEELPEAK WEALTH, LLC

CRD#: 165168 / SEC#: 801-77132

RIA

Registered Investment Advisory firm - (9/10/2012 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(11/13/2015)

IAR

New Jersey
(9/18/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/27/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/3/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/20/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/31/2008

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/14/2009

Investment Company Products/Variable Contracts Principal Examination

Current Firm

STEELPEAK WEALTH, LLC

CRD#: 165168 / SEC#: 801-77132

RIA

Registered Investment Advisory firm - (9/10/2012 Approved)

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Contact information

Main Address

21650 Oxnard Street Suite 2300, Woodland Hills, CA 91367

Mailing Address

Phone number

(818) 835-8720

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (10/22/2025)

Regulatory assets under management

Total Number of Accounts	8,369
AUM (Assets Under Management)	$ 3,439,042,634

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.

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Firm Stability Insights

Wayne T. Slappy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Tai Slappy's CRS (Customer Relationship Summary).

Certified licenses

Experience

WADDELL & REED

WADDELL & REED

NATIONAL PLANNING CORPORATION

CITIGROUP GLOBAL MARKETS INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

STEELPEAK WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/2012

Series 63

Date: 1/3/2009

SIE

Date: 11/20/2015

Series 6

Date: 12/31/2008

Series 26

Date: 1/14/2009

Current Firm

STEELPEAK WEALTH, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEELPEAK WEALTH, LLC

TRUST BUT VERIFY

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