Wayne D. Green
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 D Green, CFP®, who also goes by Wayne D Green, Wayne Douglas Green, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1978. Wayne had worked at 8 firms and has passed the Series 22TO, Series 6TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1990
Experience
February 23, 2021 - October 26, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
February 22, 2021 - October 26, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
September 3, 2013 - February 22, 2021
CETERA WEALTH SERVICES, LLC
September 3, 2013 - February 22, 2021
CETERA WEALTH SERVICES, LLC
January 18, 2012 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
November 17, 2011 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
June 18, 2009 - October 14, 2011
OSAIC FA, INC.
May 7, 2009 - October 14, 2011
OSAIC FA, INC.
June 3, 2008 - May 8, 2009
USA WEALTH MANAGEMENT LLC
June 3, 2008 - May 8, 2009
USA ADVANCED PLANNERS INC.
September 1, 2006 - May 22, 2008
TOWER SQUARE SECURITIES, INC.
March 25, 1996 - March 23, 2004
TOWER SQUARE SECURITIES, INC.
March 25, 1996 - May 22, 2008
TOWER SQUARE SECURITIES, INC.
August 15, 1994 - March 28, 1996
ADVANTAGE CAPITAL CORPORATION
March 31, 1993 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
November 6, 1978 - March 9, 1993
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 10/30/1978
Registered Representative ExaminationCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
