Wayne A. Krell
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 Alan Krell was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 2007. Wayne had worked at 8 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2015 - December 19, 2016
INVESTORS CAPITAL CORP.
January 28, 2015 - December 31, 2016
LEGEND EQUITIES CORPORATION
January 28, 2015 - May 30, 2017
SUMMIT BROKERAGE SERVICES, INC.
January 28, 2015 - May 30, 2017
FIRST ALLIED SECURITIES, INC.
December 17, 2014 - May 30, 2017
CETERA ADVISORS LLC
December 17, 2014 - May 30, 2017
CETERA WEALTH SERVICES, LLC
June 20, 2012 - May 30, 2017
CETERA FINANCIAL SPECIALISTS LLC
October 30, 2007 - May 30, 2017
CETERA INVESTMENT SERVICES 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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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