Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wayne? Claim Your ProfileWayne Warren Roser is a financial advisor with ThinkEquity LLC. Wayne has over 14 years of experience in the financial services industry. Wayne holds FINRA Series 7, Series 63, and SIE licenses. Wayne is registered to offer securities and investment advice in all 50 states.
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.
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.
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NY
02/13/2023 - Present
Thinkequity LLC (NEW YORK NY)
NY
09/14/2020 - 02/13/2023
A.G.P. / ALLIANCE GLOBAL PARTNERS (New York NY)
NY
02/13/2015 - 09/15/2020
NATIONAL SECURITIES CORPORATION (NEW YORK NY)
GA
07/21/2009 - 03/13/2015
WOODSTOCK FINANCIAL GROUP, INC. (WOODSTOCK GA)
NY
05/08/2009 - 06/05/2009
METLIFE SECURITIES INC. (GARDEN CITY NY)
NY
09/22/2008 - 04/29/2009
WOODSTOCK FINANCIAL GROUP, INC. (GARDEN CITY NY)
BC
Issued 10/06/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
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NYSE Arca, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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