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WS

Wayne H. Silverman

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CRD#: 734355
WS

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 Howard Silverman was a registered financial professional .

Wayne is a previously registered financial professional and started their career in finance in 1981. Wayne had worked at 13 firms and has passed the Series 63, Series 7 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

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

November 14, 1995 - January 28, 1998

FIRST WESTCHESTER SECURITIES

BD
CRD#: 23484
SOMERS, NY
Past

August 28, 1995 - September 18, 1995

CLAYTON SECURITIES SERVICES, INC.

BD
CRD#: 23768
CLAYTON, MO
Past

March 31, 1994 - May 15, 1995

GLOBAL ACCESS FINANCIAL SERVICES

BD
CRD#: 30998
LAKE SUCCESS, NY
Past

May 21, 1993 - March 18, 1994

GOLDIS FINANCIAL GROUP, INC.

BD
CRD#: 16444
GARDEN CITY, NY
Past

December 22, 1992 - May 25, 1993

CASTLE SECURITIES CORP.

BD
CRD#: 16077
FREEPORT, NY
Past

July 8, 1992 - November 28, 1992

A.J. MICHAELS & CO., LTD.

BD
CRD#: 19883
HAUPPAUGE, NY
Past

July 31, 1990 - August 7, 1990

R.H.DAMON & CO., INC.

BD
CRD#: 23091
Past

October 15, 1986 - November 16, 1993

ICAPITAL MARKETS LLC

BD
CRD#: 5209
OMAHA, NE
Past

October 5, 1983 - March 10, 1987

AMFCO SECURITIES, INC.

BD
CRD#: 1045
Past

April 22, 1983 - October 3, 1983

MARSAN SECURITIES CO., INC.

BD
CRD#: 7716
Past

March 14, 1983 - April 12, 1983

BUCKINGHAM SECURITIES, LTD.

BD
CRD#: 10570
Past

December 20, 1982 - September 20, 1983

A. T. BROD & CO. INC.

BD
CRD#: 1319
Past

July 20, 1981 - October 27, 1982

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096

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.

Exams

State Security Law Exam
RR
Series 63
Date: 2/3/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/28/1986
Registered Options Principal Examination

Current Firm

FW
FIRST WESTCHESTER SECURITIES
FIRST WESTCHESTER SECURITIES

CRD#: 23484 / SEC#: , 8-40576

BD
Cancelled by SEC on 02/18/2000
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 09/01/1988
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

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.

Company Information

FIRST WESTCHESTER SECURITIES

CRD#: 23484

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