Wayne Locke
Wayne Locke is a CFP-designated registered investment advisor at Cetera Investment Advisers LLC, based in New Milford, CT, with 38 years of industry experience. Wayne operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
New Milford, CT
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Wayne sells fixed insurance products including life, disability, fixed annuities, and long-term care, and operates Prospect Hill Advisors for financial services and fixed insurance sales. He also serves as a board member for the New Milford Chamber of Commerce, owns Financial Planning Consultants LLC for expense management, and Stonegate Properties LLC for real estate management.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Walnut Street Securities, INC.
Walnut Street Securities, INC.Broker
Matson Financial Advisors, INC.
Nathan & Lewis Securities, INC.
Nathan & Lewis Securities, INC.Broker
PFS Investments INC.Broker
State Registrations21 states
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