Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wayne? Claim Your ProfileWayne Pon is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Wayne has been working in the financial industry since 2001 and holds the Series 7, Series 31, Series 63, and Series 66 licenses. Wayne is registered with the following states: Alaska, California, Connecticut, District of Columbia, Florida, Georgia, Maryland, Massachusetts, Michigan, Nevada, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Texas, and Virginia. Wayne's previous experience includes working at Morgan Stanley DW Inc., Salomon Smith Barney Inc., and CitiCorp Securities, 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.
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
NY
07/12/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
09/23/2002 - 08/29/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
12/18/1998 - 03/24/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
09/08/1998 - 12/18/1998
CITICORP SECURITIES, INC. (NEW YORK NY)
BOTH
Issued 05/20/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/02/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/08/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 09/20/2002
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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