Charles Alan Wayne

Current Employers

Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2017-03-25

MN RA
APPROVED

Since 2017-03-25

Branch Locations

2 Carlson Parkway N Suite 320, Plymouth, MN 55447 • United States

Brooklyn Park, MN • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Metlife Securities Inc.	Minnetonka	MN	11/2003	03/2017
Mml Investors Services, Llc	Plymouth	MN	03/2017	Present
Massmutual Life Insurance Co	Plymouth	MN	07/2016	Present

11/2003 → 03/2017

Metlife Securities Inc.

Minnetonka, MN
03/2017 → Present

Mml Investors Services, Llc

Plymouth, MN
07/2016 → Present

Massmutual Life Insurance Co

Plymouth, MN

Previous Registrations

2014-11-19 → 2017-03-25

Msi Financial Services, Inc.

Minnetonka, MN

St. Louis, MO

Milwaukee, WI

Brooklyn Park, MN

Plymouth, MN

Minnetonka, MN

Minnetonka, MN
2003-01-22 → 2003-12-03

Valic Financial Advisors, Inc.

Bloomington, MN

Other Businesses

Independent Insurance Agent-from business address-1hrs sec, 0hrs nonsec-Property & Casualty-since 06/2016

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1991-07-05

S63 Uniform Securities Agent State Law Examination

1991-07-05

Designations

View on SEC IAPD