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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 Tai Slappy is an investment advisor representative with Steelpeak Wealth, LLC and has over 10 years of experience in the financial services industry. Wayne Tai Slappy is registered with the state of California and New Jersey. Wayne Tai Slappy has a Series 6, Series 63, Series 26 and Series 65 license. Wayne Tai Slappy specializes in providing financial planning, portfolio management for individuals and businesses, and selection of other advisors. Wayne Tai Slappy's previous employers include Waddell & Reed, National Planning Corporation, Citigroup Global Markets Inc. and Banc of America Investment Services, Inc..
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.
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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CA
09/18/2024 - Present
Steelpeak Wealth, LLC (WOODLAND HILLS CA)
CA
08/17/2012 - 11/20/2015
WADDELL & REED (SHERMAN OAKS CA)
CA
11/14/2011 - 06/04/2012
NATIONAL PLANNING CORPORATION (SUN VALLEY CA)
CA
01/01/2009 - 05/12/2011
CITIGROUP GLOBAL MARKETS INC. (VISTA CA)
CA
03/12/2001 - 01/10/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)
IA
Issued 08/27/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/03/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/14/2009
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 11/20/2015
SIE - Securities Industry Essentials Examination
BC
Issued 12/31/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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