Wayne T. Chilton
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 Thomas Chilton was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1975. Wayne had worked at 11 firms and has passed the Series 63, Series 5, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 1993 - July 28, 1993
INVEST FINANCIAL CORPORATION
October 5, 1992 - March 20, 1993
WORLD INVEST CORPORATION
December 2, 1991 - March 30, 1992
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 8, 1990 - October 23, 1991
IFG NETWORK SECURITIES, INC.
March 3, 1988 - January 3, 1989
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
September 4, 1986 - May 13, 1988
G. ERWIN SECURITIES CORP.
November 5, 1985 - September 8, 1986
FENNER FINANCIAL, INC.
March 1, 1983 - November 8, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 13, 1977 - July 27, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 27, 1976 - December 18, 1976
BACHE HALSEY STUART INC
February 24, 1975 - August 27, 1976
BACHE & CO INCORPORATED
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 5
Date: 3/29/1983
Interest Rate Options ExaminationCurrent Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 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.
