Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wayne? Claim Your ProfileWayne Lavallee is a financial advisor with over 25 years of experience in the financial services industry. Wayne has a strong background in securities and investments, having held previous positions with Citigroup Global Markets Inc., H.D. Vest Investment Services, and Morgan Stanley. Wayne is currently registered with UBS Financial Services Inc. as a registered representative and investment advisor representative, and holds Series 6, 7, 31, and 63 licenses, as well as the SIE and Series 65 exams. Wayne is a Certified Financial Planner and holds the Series 63 license, signifying his expertise in investment and advisory services. Wayne is committed to providing personalized financial guidance and investment strategies to help clients achieve their financial goals.
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
MD
08/12/2024 - Present
UBS Financial Services Inc. (BALTIMORE MD)
MD
06/01/2009 - 10/20/2015
MORGAN STANLEY (COLUMBIA MD)
MD
11/19/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (COLUMBIA MD)
MD
11/14/1996 - 12/15/2008
H.D. VEST INVESTMENT SERVICES (SILVER SPRING MD)
IA
Issued 10/30/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/06/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 09/04/1998
Series 7 - General Securities Representative Examination
BC
Issued 11/13/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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