Wayne N. Anderson
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 Norman Anderson SR, who also goes by Wayne Norman Anderson, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1971. Wayne had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2002 - October 21, 2015
AMERITAS INVESTMENT COMPANY, LLC
July 1, 1996 - October 21, 2015
AMERITAS INVESTMENT COMPANY, LLC
July 1, 1993 - July 3, 1996
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 1, 1991 - July 6, 1993
PACIFIC HARBOR SECURITIES, INC.
March 23, 1990 - May 24, 1991
OPPENHEIMER & CO. INC.
February 11, 1988 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
February 11, 1985 - February 4, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
January 11, 1984 - March 12, 1985
VALUE EQUITIES CORPORATION
June 23, 1971 - April 15, 1982
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 23, 1971 - April 15, 1982
OSAIC FA, 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 1
Date: 6/16/1971
Registered Representative ExaminationSeries 8
Date: 11/16/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 12/1/1977
Registered Principal ExaminationCurrent Firm
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
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.
