Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wayne? Claim Your ProfileWayne Ballinger is a financial advisor who has been in the industry since 1986. Wayne is currently registered with Wells Fargo Clearing Services, LLC in Scottsdale, Arizona. Prior to joining Wells Fargo, Wayne was a registered representative with MORGAN STANLEY SMITH BARNEY and CITIGROUP GLOBAL MARKETS INC. Wayne holds several licenses and certifications, including the Series 7, Series 3, Series 10, Series 9, Series 63, and Series 65. Wayne specializes in providing investment consulting services to institutional clients, as well as financial planning and portfolio management for individuals and businesses.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AZ
09/01/2011 - Present
Wells Fargo Clearing Services, LLC (SCOTTSDALE AZ)
AZ
06/01/2009 - 09/08/2011
MORGAN STANLEY SMITH BARNEY (SCOTTSDALE AZ)
AZ
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SCOTTSDALE AZ)
NY
07/20/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
09/15/1989 - 07/28/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
12/26/1986 - 09/16/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
IA
Issued 06/10/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/19/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/03/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/07/1987
Series 3 - National Commodity Futures Examination
BC
Issued 12/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Wayne Ballinger is the right advisor for you? Invested Better is here to help.
