Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wayne? Claim Your ProfileWayne Rich is an active Investment Advisor Representative with Merrill Lynch, Pierce, Fenner & Smith Inc. based in Gilbert, Arizona. Wayne has over 30 years of experience in the financial services industry, having been registered with Merrill Lynch since 1989. Wayne is also a Registered Investment Advisor in California and Texas. Wayne is a general securities principal and has a Series 63, 65, 7, 9, 10, 24, 31, and SIE licenses. Wayne is a member of the Aid to Women Center in Tempe, Arizona, where he serves as a director.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
03/18/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GILBERT AZ)
TX
09/17/1997 - 11/26/1997
FISERV INVESTOR SERVICES, INC. (HOUSTON TX)
NA
07/07/1995 - 09/17/1997
LINK INVESTMENT SERVICES, INC.
WI
07/01/1993 - 07/10/1995
INVEST FINANCIAL CORPORATION (APPLETON WI)
CA
11/05/1992 - 07/16/1993
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
NY
08/22/1989 - 10/16/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 08/03/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/17/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/17/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/17/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/08/1995
Series 24 - General Securities Principal Examination
BC
Issued 01/10/1991
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 08/19/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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