RW
Robert I. Wayne
SPC
LAKE BLUFF, IL 60044
Some features on this profile are disabled
CRD#: 725009
RW
Professional summary
Robert Ian Wayne, who also goes by Robert I Wayne, is a registered financial advisor currently at SPC located in Lake Bluff, Illinois and SIGMA FINANCIAL CORPORATION located in Lake Bluff, Illinois.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Robert has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert I Wayne
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. dba - RW Financial LLC, Lake Bluff, IL. Offers financial services. Start date: 2/8/18, approx. 150 hrs/mo with 80% during mkt hrs. 2. SELLING TRADITIONAL LTC & LIFE INSURANCE PRODUCTS WITH VARIOUS INSURANCE COMPANIES. 3. Lake Forest Cemetery Commission, Lake Forest, IL. Serve as one of five commissioners that assists in the management of a local historical cemetery. Start date: 6/30/21, approx. 3 hrs/quarter. No access to funds, not investment related. 4. Serve as co-trustee for my spouse's trust. Start date: 4/14/23, less than 1 hr/mo.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Ian Wayne's 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®
NoneExperience
Current
October 8, 1998 - Present
SPC
Office #1: 900 North Shore Drive Suite 239, Lake Bluff, IL 60044RIA
CRD#: 110692
LAKE BLUFF, IL
Current
October 17, 1995 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 900 North Shore Dr. Suite 239, Lake Bluff, IL 60044BD
CRD#: 14303
Lake Bluff, IL
Past
March 6, 1981 - October 26, 1995
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
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".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(2/20/2018)
RR
California(9/17/2003)
RR
Florida(8/20/1999)
IAR
Illinois(10/8/1998)
RR
Illinois(9/17/2003)
RR
Indiana(11/29/2004)
RR
Iowa(5/2/2023)
RR
Maryland(9/5/2006)
RR
Michigan(1/2/2019)
RR
Minnesota(9/19/2007)
RR
Missouri(2/8/2013)
RR
New York(11/16/2022)
RR
Ohio(7/5/2023)
RR
South Dakota(11/9/2015)
RR
Texas(2/7/2014)
RR
Wisconsin(2/16/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
