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RIA / WealthAdvisor30 years in industry

WARNER WHITMAN WAYNE

Advisor at WEALTH EFFECTS

BOSTON, MA

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Search this name across graphsid dfx:ria:08933189-d006-e137-ccf0-4b5bfe3dc803

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 24, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WEALTH EFFECTS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 18, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jul 18, 1996
First registration: Jun 24, 2002
Dual registered: no
Other names: CHIP WAYNE
IAPD individual key: 2751786

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WEALTH EFFECTS	Independent wealth	Nov 29, 2022	n/a	yes	BOSTON, MA	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 6, 2021	Oct 18, 2022	no	Hingham, MA	Previous registration
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Mar 24, 2021	Aug 11, 2021	no	BOSTON, MA	Previous registration
WINSLOW, EVANS & CROCKER, INC.	Former SEC adviser	Sep 21, 2005	Apr 13, 2021	no	BOSTON, MA\|BOSTON, MA	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Jun 24, 2002	Sep 9, 2003	no	WALTHAM, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	WEALTH EFFECTS	Oct 18, 2022	Nov 29, 2022	42	Firm change	Ibd to RIA
B. RILEY WEALTH ADVISORS, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Aug 11, 2021	Aug 6, 2021	-5	Firm change	Ibd to ibd
WINSLOW, EVANS & CROCKER, INC.	B. RILEY WEALTH ADVISORS, INC.	Apr 13, 2021	Mar 24, 2021	-20	Firm change	RIA to ibd
NEW ENGLAND SECURITIES CORPORATION	WINSLOW, EVANS & CROCKER, INC.	Sep 9, 2003	Sep 21, 2005	743	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
29686:115927:MA:2021-04-09	Apr 13, 2021	Mar 24, 2021	BOSTON, MA	Firm change

Relationships

Registered with (5)

→ WEALTH EFFECTSRegistered adviserregistration: current employment
Nov 29, 2022 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Aug 6, 2021 to Oct 18, 2022factForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Mar 24, 2021 to Aug 11, 2021factForm ADV
→ WINSLOW, EVANS & CROCKER, INC.Registered adviserregistration: previous registration
Sep 21, 2005 to Apr 13, 2021factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jun 24, 2002 to Sep 9, 2003factForm ADV

Dated events

Occurred
Oct 18, 2022
Advisor changed firm
Warner Whitman Wayne left Ameriprise Financial Services, Llc for Wealth Effects (registered 2022-11-29)
Form ADVobserved 5 days ago