Wayne Leroy Locke

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 01/2001 → 10/2022
  Matson Financial Advisor'S, Inc
  Danbury, CT
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 11/2023 → Present
  Prospect Hill Advisors
  Danbury, CT

Previous Registrations

• 2001-11-12 → 2022-12-12
  Matson Financial Advisors, Inc.
  Danbury, CT
• 2003-08-01 → 2013-09-03
  Walnut Street Securities, Inc.
  Danbury, CT
  Danbury, CT
• 2001-01-05 → 2003-08-01
  Nathan & Lewis Securities, Inc.
  Danbury, CT

Other Businesses

1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 05/2022; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, FIXED ANNUITIES, AND LONG-TERM CARE 2) NAME OF OTHER BUSINESS: PROSPECT HILL ADVISORS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/2023, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES & SALE & SERVICE OF FIXED INSURANCE; 3) NAME OF OTHER BUSINESS: NEW MILFORD CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: 11 RAILROAD ST, NEW MILFORD, CT 06776; NATURE OF BUSINESS: BOARD; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTENDS BOARD MEETINGS, SUPPORTS AND PROMOTES LOCAL BUSINESSES; 4) NAME OF OTHER BUSINESS: STONEGATE PROPERTIES LLC; INVESTMENT RELATED: NO; ADDRESS: 158 PROSPECT HILL RD NEW MILFORD, CT 06776; NATURE OF BUSINESS: REAL ESTATE; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: OWNER/MANAGING MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MANAGES AND MAINTAINS INVESTMENT PROPERTY;

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-10-22
• S63 Uniform Securities Agent State Law Examination
  1987-06-23

Designations

• Certified Financial Planner