Role at Commonwealth Equity Services
- Title on Schedule A
- Managing Director, Chief Executive Officer
- Control
- Wayne Bloom is a control person of Commonwealth Equity Services.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Wayne Bloom has held the filed role since January 2009.
The firm
Form ADV filed 29 September 2026
Career on record
Wayne Bloom has been registered through Commonwealth Equity Services since December 1989.
- Passed Series 99TO · 2023
- Passed SIE · 2018
- Passed Series 31 · 2003
- Passed Series 24 · 1998
- – present · 31 years, · Adviser representative · Firm CRD 8032
- Passed Series 65 · 1995
- Passed Series 7 and Series 63 · 1989
- – present · 37 yearsWeston, MA · Adviser representative and broker · Firm CRD 8032
Registrations and exams
Wayne Bloom has a current investment-adviser registration in Massachusetts and has passed 7 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Massachusetts | Investment adviser representative | Approved | 31 January 1996 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 15 May 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 December 1989 |
| Series 24 | General Securities Principal Examination | 12 May 1998 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 31 | Futures Managed Funds Examination | 22 September 2003 |
| Series 7 | General Securities Representative Examination | 16 December 1989 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Wayne Bloom
- CRD
- 2014352
- Registration status
- Investment adviser and broker registrations
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Wayne Bloom work?
Wayne Bloom has been Managing Director, Chief Executive Officer of Commonwealth Equity Services, LLC since January 2009, and is a control person of the firm.
Is Wayne Bloom a financial advisor?
Yes. Wayne Bloom has a current investment-adviser registration in Massachusetts, through Commonwealth Equity Services since December 1989, as of 17 October 2026.
How many years of experience does Wayne Bloom have?
Wayne Bloom has worked in the financial industry for 36 years as of 17 October 2026, counted from 20 December 1989, across 1 adviser firm.
What exams has Wayne Bloom passed?
Wayne Bloom has passed 7 licensing exams: the Series 7, Series 63, Series 65, Series 24, Series 31, SIE and Series 99TO. The earliest, the Series 7, was passed in December 1989.
Leadership at Commonwealth Equity Services
- Peggy Lynn HoGeneral Counsel, Senior Vice President
- Christopher Anthony Trapnell KlomanChief Operations Officer, President
- Jonathan C. CleasbyChief Financial Officer
- Robert Eric MolinariRIA Chief Compliance Officer
- Matthew John SugdenBD Chief Compliance Officer
- Jonathan Christiaan BohsManaging Principal, Operations
- Kirby Lepak Horan-AdamsManager
- Steven Philip MorrisonManager
- Brian Thomas PriceManaging Principal, Chief Investment Officer