Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wayne? Claim Your ProfileWayne Leroy Locke is a financial professional with over 35 years of experience in the financial services industry. Wayne is currently registered with Cetera Investment Advisers LLC, providing financial advice and services to individuals, businesses, and institutions. Wayne holds a variety of licenses and designations, including Series 6, 7, 26, 52, and 63 securities licenses, as well as a Series 65 investment advisor license. Wayne is also a Certified Financial Planner. Wayne is a dedicated and experienced professional who is committed to providing his clients with the highest quality financial advice and service.
NEW MILFORD, CT
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.
A percentage of the total value of assets under management is charged.
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2
CT
06/29/2023 - Present
Cetera Investment Advisers LLC (NEW MILFORD CT)
CT
08/01/2003 - 09/03/2013
WALNUT STREET SECURITIES, INC. (DANBURY CT)
NY
01/04/2001 - 08/01/2003
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
GA
06/04/1987 - 01/05/2001
PFS INVESTMENTS INC. (DULUTH GA)
IA
Issued 10/22/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 6/23/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/27/1989
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/14/2006
Series 7 - General Securities Representative Examination
BC
Issued 3/1/2004
Series 52 - Municipal Securities Representative Examination
BC
Issued 8/26/2001
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 6/3/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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