Wayne Everett Cook

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-12-16
MA	RA	APPROVED	2018-02-14

FL RA
APPROVED

Since 2024-12-16
MA RA
APPROVED

Since 2018-02-14

Branch Locations

Kissimmee, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wec Associates	Waltham	MA	11/2002	Present
Invest Financial Corporation	North Reading	MA	12/2003	02/2018
Lpl Financial Llc	Waltham	MA	02/2018	Present

11/2002 → Present

Wec Associates

Waltham, MA
12/2003 → 02/2018

Invest Financial Corporation

North Reading, MA
02/2018 → Present

Lpl Financial Llc

Waltham, MA

Previous Registrations

2003-12-19 → 2018-02-14

Invest Financial Corporation

Waltham, MA

Waltham, MA

Appleton, WI

Other Businesses

1. 02/14/2018 - Wayne Cook - WEC Associates - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date 01/1986 - 10 Hours Per Month.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-09-04

S66 Uniform Combined State Law Examination

2003-09-04

View on SEC IAPD