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Wayne Maier

LPL Financial LLC
51 Years of Experience
Bay City, MI
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Wayne Maier is a registered investment advisor at LPL Financial LLC, based in Bay City, MI, with 51 years of industry experience. Wayne is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

5982 Westside Saginaw Rd, Bay City, MI, 48706

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
April 1999
Final
Customer Dispute
November 1996
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Wayne owns Wayne Maier Properties LLC, a real estate rental business, dedicating minimal time. He also operates Maier & Associates Financial Group, Inc. as a DBA for his LPL business, and sells non-variable insurance products, spending about 10-20% of his time on this.

Employment History
Current Registrations
LPL Financial LLCBroker
January 2024 - Present · 2 yrs 9 mos
LPL Financial LLC
January 2024 - Present · 2 yrs 9 mos
Previous Registrations
Raymond James Financial Services, INC.Broker
November 2018 - January 2024 · 5 yrs 2 mos
Raymond James Financial Services Advisors, INC
November 2018 - January 2024 · 5 yrs 2 mos
Securities America Advisors, INC.
September 2013 - November 2018 · 5 yrs 2 mos
Securities America, INC.Broker
September 2013 - November 2018 · 5 yrs 2 mos
National Planning Corporation ("npc of America" in Fl & Ny)
March 2008 - October 2013 · 5 yrs 7 mos
National Planning CorporationBroker
August 2007 - October 2013 · 6 yrs 2 mos
Securities America, INC.Broker
April 2002 - August 2007 · 5 yrs 4 mos
Multi-Financial Securities CorporationBroker
September 2000 - April 2002 · 1 yr 7 mos
Multi-Financial Securities CorporationBroker
June 1999 - September 2000 · 1 yr 3 mos
Sii Investments, INC.Broker
December 1996 - June 1999 · 2 yrs 6 mos
Fortis Investors, INC.Broker
August 1995 - December 1996 · 1 yr 4 mos
American United Life Insurance CompanyBroker
April 1994 - May 1995 · 1 yr 1 mo
Aul Equity Sales CORP.Broker
April 1994 - May 1995 · 1 yr 1 mo
John Hancock Mutual Life Insurance CompanyBroker
August 1993 - April 1994 · 8 mos
John Hancock Distributors, INC.Broker
August 1993 - April 1994 · 8 mos
Century Investors of America, INC.Broker
February 1989 - July 1993 · 4 yrs 5 mos
Aetna Life Insurance and Annuity CompanyBroker
June 1985 - May 1991 · 5 yrs 11 mos
Metlife Securities INC.Broker
August 1974 - June 1991 · 16 yrs 10 mos
Metropolitan Life Insurance CompanyBroker
August 1974 - March 1985 · 10 yrs 7 mos
State Registrations32 states
ALARAZCACOFLHIIDILINKYMAMDMIMNMSMTNCNMNVNYOHOKORPASCTNTXVAWAWIWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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