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Wayne Adam Fingerman

Penserra Securities, LLC

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About Wayne Adam Fingerman

Wayne Fingerman is a financial advisor with Penserra Securities, LLC. Wayne has been in the financial industry since January 18, 1992. Wayne is registered in California and Illinois. Wayne holds the Series 63, Series 65, Series 7, and SIE licenses.

Firm Information

Wayne Fingerman is currently registered with Penserra Securities, LLC. Penserra Securities, LLC is a Limited Liability Company formed in February 2007. The firm is registered with the SEC and in 16 states, including California, Connecticut, Florida, Illinois, Indiana, Iowa, Maryland, Minnesota, Missouri, New Jersey, New Mexico, New York, Ohio, Texas, Virginia, and Wisconsin.

Not reported

Assets Under Management

Not reported

Total Clients

35

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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Wayne Fingerman’s Registration & Firm History

CA

04/04/2013 - Present

Penserra Securities, LLC (ORINDA CA)

CT

05/17/1994 - 01/05/2012

AMHERST SECURITIES GROUP, L.P. (WESTPORT CT)

NA

07/27/1993 - 05/25/1994

WESTCAP GOVERNMENT SECURITIES, INC.

TX

07/27/1993 - 05/25/1994

WESTCAP SECURITIES, L.P. (HOUSTON TX)

NJ

10/09/1990 - 07/13/1993

HILLIARD FARBER & CO., INC. (JERSEY CITY NJ)

NY

10/09/1990 - 07/13/1993

HILLIARD FARBER SECURITIES CORP. (NEW YORK NY)

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Licenses & Designations

IA

Issued 06/26/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/16/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/15/1991

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Wayne Adam Fingerman.
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