Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wayne? Claim Your ProfileWayne Brumm is a financial advisor currently registered with Charles Schwab & CO., Inc. Wayne has been in the financial industry since 1981 and has extensive experience working with a variety of clients. Wayne is registered in both the state of Indiana and Texas. Previously, Wayne was employed with Raymond James Financial Services, Inc., Royal Alliance Associates, Inc., and Dean Witter Reynolds Inc. Wayne holds the Series 63, Series 66, Series 7, Series 10, Series 9, Series 22, Series 24, and Series 51 licenses. Wayne is also a Certified Financial Planner.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
IN
01/03/2019 - Present
Charles Schwab & CO., Inc. (Merrillville IN)
IN
10/21/1997 - 12/31/2018
RAYMOND JAMES FINANCIAL SERVICES, INC. (CROWN POINT IN)
AZ
11/19/1989 - 10/27/1997
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NA
06/17/1988 - 11/19/1989
INTEGRATED RESOURCES EQUITY CORPORATION
NA
03/03/1986 - 06/23/1988
OPPENHEIMER & CO., INC.
NA
03/01/1983 - 03/06/1986
DEAN WITTER REYNOLDS INC.
NA
07/24/1981 - 03/07/1983
WILLIAM H. GREGORY & COMPANY
BOTH
Issued 03/29/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/22/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/31/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/26/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/30/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 04/13/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/1983
Series 7 - General Securities Representative Examination
BC
Issued 07/22/1981
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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