Wayne F. Slattery

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CRD#: 4883823

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 F Slattery Jr, who also goes by Wayne Frederick Slattery Jr., Wayne Slattery, Wayne F Slattery, was a registered financial professional .

Wayne is a previously registered financial professional and started their career in finance in 2005. Wayne had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Aliases

Wayne Frederick Slattery Jr. | Wayne Slattery | Wayne F Slattery

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.

1) INSURANCE SALES;INVESTMENT RELATED; ORLANDO, FL; SALE OF INSURANCE PRODUCTS; AGENT; ACTIVITY BEGAN 9/2025 ; DEVOTE 1-20 HOURS PER WEEK AT THIS TIME TO THIS ACTIVITY DURING TRADING HOURS; COMPENSATION IS COMMISSION.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 23, 2023 - August 4, 2026

FISHER INVESTMENTS

RIA

CRD#: 107342

Tampa, FL

Past

March 16, 2021 - April 4, 2023

PRUCO SECURITIES, LLC.

CRD#: 5685

Reading, MA

Past

August 28, 2018 - March 1, 2021

LION STREET FINANCIAL, LLC

CRD#: 165828

NEWTON, MA

Past

March 19, 2018 - September 11, 2018

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Danvers, MA

Past

March 28, 2017 - February 22, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

WAKEFIELD, MA

Past

June 30, 2016 - January 26, 2017

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

NEW YORK CITY, NY

Past

January 27, 2005 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

EXETER, NH

Past

January 27, 2005 - June 30, 2016

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

DANVERS, MA

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".

FISHER INVESTMENTS

FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA

Registered Investment Advisory firm - (3/26/1987 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/23/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/18/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/26/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FISHER INVESTMENTS

FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA

Registered Investment Advisory firm - (3/26/1987 Approved)

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Contact information

Main Address

6500 International Pkwy Ste 2050, Plano, TX 75093-8222

Mailing Address

Phone number

(800) 851-8845

Established

Firm type

Fiscal year end

# of Employees

4,369

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INSTITUTIONAL (2/11/2026)

CANADA PRIVATE CLIENT (2/11/2026)

UNITED KINGDOM PRIVATE CLIENT (2/11/2026)

PRIVATE CLIENT (2/11/2026)

Regulatory assets under management

Total Number of Accounts	422,516
AUM (Assets Under Management)	$ 386,669,724,038

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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Advisor Monitoring

Firm Stability Insights

Wayne F. Slattery

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRUCO SECURITIES, LLC.

LION STREET FINANCIAL, LLC

ALLSTATE FINANCIAL SERVICES, LLC

MML INVESTORS SERVICES, LLC

METLIFE INVESTORS DISTRIBUTION COMPANY

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

FISHER INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 6/23/2023

Series 63

Date: 2/18/2005

SIE

Date: 10/1/2018

Series 6

Date: 1/26/2005

Current Firm

FISHER INVESTMENTS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FISHER INVESTMENTS

TRUST BUT VERIFY

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