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Detailed Report
WAYNE EARL COOKSEY
CRD#: 845368
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
19921994199619982000200220042006200820102012201420162018IALINCOLN FINANCIAL ADVISORS COR... (CRD# 3978)1992 - 2017 (24 years)
Disclosure(s)
View By:
2/27/2018
Customer Dispute
Denied
8/8/2017
Regulatory
Final
8/14/2012
Judgment / Lien
12/6/2010
Judgment / Lien
10/4/2010
Judgment / Lien
9/8/2010
Judgment / Lien
Previous Registration(s)
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IA
 11/02/1992 - 06/09/2017 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) JACKSONVILLE, FL
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.