Warner Wayne has been an investment adviser representative at Wealth Effects since November 2022, and is not listed among the firm’s executive officers or direct owners.
Wealth Effects LLC is a Boston, MA firm with $472M under management, 602 clients and 9 advisers across 11 offices, as of its February 2026 filing.
Warner Wayne’s longest registration was 15 years at Winslow, Evans & Crocker, Inc. (2005–2021). Before joining Wealth Effects in 2022, Warner Wayne was registered through Ameriprise Financial Services, LLC and National Asset Management, Inc.
- Ameriprise Financial Services, LLC– · 1 yearHingham, MA · Adviser representative · Firm CRD 6363
- National Asset Management, Inc.– · under a yearBoston, MA · Adviser representative · Firm CRD 115927
- Winslow, Evans & Crocker, Inc.– · 15 yearsBoston, MA · Adviser representative · Firm CRD 29686
- New England Securities Corporation– · 1 yearWaltham, MA · Adviser representative · Firm CRD 615
Investment adviser representative registrations
Warner Wayne is registered as an investment adviser representative in Massachusetts, since November 2022.
- MassachusettsSince 29 November 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 3 December 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 18 July 1996 |
| Series 7 | General Securities Representative Examination | 27 June 1996 |
- Name
- Investment Banking Registered Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Warner Whitman Wayne
- CRD
- 2751786
- Firm
- Wealth Effects · CRD 315244
- Office
- 265 FRANKLIN STREET, SUITE 1702, Boston, MA 02110
- Registration
- Investment adviser registration
- In the industry since
- September 1996
- Disciplinary history
- Not yet shown here · SEC record
Where does Warner Wayne work?
Warner Wayne is an investment adviser representative registered through Wealth Effects LLC since November 2022, and is not listed among the firm’s executive officers or direct owners.
Is Warner Wayne a financial advisor?
Yes. Warner Wayne has a current investment-adviser registration in Massachusetts, through Wealth Effects since November 2022.
How many years of experience does Warner Wayne have?
Warner Wayne has 30 years in the financial industry, since September 1996, across 5 adviser firms.
What exams has Warner Wayne passed?
Warner Wayne has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 79TO. The earliest, the Series 7, was passed in June 1996. FINRA credited Warner Wayne with the SIE, which began in October 2018.
Where did Warner Wayne work before Wealth Effects?
Before Wealth Effects, Warner Wayne was registered through Ameriprise Financial Services, LLC, August 2021 to October 2022; National Asset Management, Inc., March 2021 to August 2021; Winslow, Evans & Crocker, Inc., September 2005 to April 2021; New England Securities Corporation, June 2002 to September 2003.
Where is Warner Wayne based?
Warner Wayne’s registered office is in Boston, MA.
Is Warner Wayne registered with FINRA?
No. Warner Wayne has no current broker registration.
How can I verify Warner Wayne’s record?
Search CRD 2751786 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Warner Wayne’s full registration record.