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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wayne? Claim Your ProfileWayne Peterson is a financial advisor with UBS Financial Services Inc., with over 30 years of experience in the financial services industry. Wayne has been registered with UBS since 2011, and has previously held positions at Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Citigroup Global Markets Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Wayne specializes in providing financial advice to individuals, high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. Wayne is also a registered representative with FINRA and holds Series 63, Series 7, and Series 65 licenses.
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
MA
08/10/2011 - Present
UBS Financial Services Inc. (WELLESLEY MA)
MA
06/01/2009 - 08/19/2011
MORGAN STANLEY SMITH BARNEY (WELLESLEY MA)
MA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WELLESLEY MA)
MA
08/12/2005 - 04/02/2007
MORGAN STANLEY DW INC. (WELLESLEY MA)
NY
11/15/1996 - 08/24/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
12/21/1989 - 11/26/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 05/18/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/1989
Series 7 - General Securities Representative Examination
Active
Inactive
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