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Allen Wainer

Cetera Advisors LLC

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About Allen Wainer

Allen Wainer is a financial advisor with Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Advisor Networks LLC, and Cetera Investment Services LLC. Allen has been in the financial services industry since 2002. Allen has a Series 7, Series 55, Series 3, Series 99TO, and Series 57TO license and is registered with FINRA and the state of California. Allen is also registered as a securities agent in 52 other states.

Firm Information

Allen Wainer is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Allen Wainer’s Registration & Firm History

CA

03/14/2023 - Present

Cetera Advisors LLC (EL SEGUNDO CA)

FL

12/11/2018 - 02/21/2023

TRADESTATION SECURITIES, INC. (PLANTATION FL)

FL

03/09/2010 - 11/16/2018

NEWBRIDGE SECURITIES CORPORATION (BOCA RATON FL)

FL

06/23/2006 - 02/03/2009

OPPENHEIMER & CO. INC. (MIAMI FL)

NY

06/05/2006 - 06/12/2006

LEEB BROKERAGE SERVICES, INC. (NEW YORK NY)

NY

10/02/2000 - 04/07/2005

ADIRONDACK ELECTRONIC MARKETS LLC (NEW YORK NY)

NY

07/28/2000 - 10/02/2000

KBC FINANCIAL PRODUCTS USA, INC. (NEW YORK NY)

NY

07/08/1997 - 12/04/1997

PUNK, ZIEGEL & COMPANY, L.P. (NEW YORK NY)

NY

02/11/1997 - 06/06/1997

BREAN MURRAY & CO., INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/29/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 03/04/2019

Series 3 - National Commodity Futures Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/09/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 07/27/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Allen Wainer.
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