Stephen J. 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.
Stephen John Wayne was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1973. Stephen had worked at 5 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2013 - March 10, 2017
FINANCIAL DIMENSIONS GROUP, INC.
June 26, 2008 - December 31, 2012
FINANCIAL DIMENSIONS GROUP, INC.
April 20, 1995 - March 3, 2017
OSAIC WEALTH, INC.
August 14, 1973 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
August 14, 1973 - April 20, 1995
IDS LIFE INSURANCE COMPANY
August 14, 1973 - April 20, 1995
AMERIPRISE FINANCIAL 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
Series 1
Date: 8/9/1973
Registered Representative ExaminationCurrent Firm
FINANCIAL DIMENSIONS GROUP, INC.
CRD#: 115143 / SEC#: 801-77285
Contact information
Regulatory assets under management
| Total Number of Accounts | 9,105 |
| AUM (Assets Under Management) | $ 2,603,760,951 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
