Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wayne? Claim Your ProfileWayne Edward Card is a financial advisor associated with UBS Financial Services Inc. Wayne has been in the securities industry since August 3, 1995. Wayne is a registered representative of UBS Financial Services Inc. in Connecticut and Texas. Prior to joining UBS Financial Services Inc., Wayne was employed at CITIGROUP GLOBAL MARKETS INC. Wayne has successfully passed the Uniform Securities Agent State Law Examination, the Uniform Investment Adviser Law Examination, the General Securities Representative Examination, and the Securities Industry Essentials Examination. Wayne is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC).
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
See schedule d - miscellaneous
1
2
CT
11/29/2012 - Present
UBS Financial Services Inc. (NEW HAVEN CT)
CT
08/04/1995 - 04/15/2009
CITIGROUP GLOBAL MARKETS INC. (NEW HAVEN CT)
IA
Issued 09/08/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/24/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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