Wayne Rowlands, financial advisor Santa Rosa CA
83 score

Wayne Rowlands

CRD Number: 1334900
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wayne Rowlands (CRD# 1334900) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Santa Rosa, CA and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Santa Rosa, CA Nov 2016 - Current 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Santa Rosa, CA Oct 2016 - Current 1
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Oct 2016 1
Morgan Stanley Smith Barney Santa Rosa, CA Jun 2009 - Oct 2016 7
Citigroup Global Markets, Inc. Santa Rosa, CA Dec 2007 - Jun 2009 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1985
S65 NASAA Investment Advisors Law Examination Sep 1992
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Wayne R. Rowlands
Phone Number: 800-637-7455
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    639,574
    MILLIONS
  • Total Number of Accounts
    1,831,494
    ACCOUNTS
  • Average Account Value
    $349,209
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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BADGES
83

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