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Wayne Eric Thomas

Daiwa Capital Markets America Inc.

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About Wayne Eric Thomas

Wayne Eric Thomas is a financial professional with experience in the securities industry. Wayne holds the Securities Industry Essentials Examination (SIE) and the Series 99 - Operations Professional Examination. Wayne is currently registered with Daiwa Capital Markets America Inc., a firm that offers investment services. Wayne has been active in the industry since December 18, 2017.

Firm Information

Wayne Thomas is currently registered with Daiwa Capital Markets America Inc.. Daiwa Capital Markets America Inc. is a corporation formed on December 8, 1964, and is registered in all 50 U.S. states, the District of Columbia, and Puerto Rico. The firm has been approved by the SEC and has a total of 53 registrations.

Not reported

Assets Under Management

Not reported

Total Clients

69

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 Thomas’s Registration & Firm History

NY

12/19/2017 - Present

Daiwa Capital Markets America Inc. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/19/2017

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Wayne Eric Thomas.
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