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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)39 years in industry

WAYNE LEROY LOCKE

Advisor at CETERA INVESTMENT ADVISERS LLC

New Milford, CT | NEW MILFORD, CT

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Search this name across graphsid dfx:ria:ce7862eb-c64f-e401-cad4-def3dbd54338

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 5, 2001 to Sep 15, 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: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 23, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Jun 23, 1987
First registration: Jan 5, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 1682299

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
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	n/a	yes	NEW MILFORD, CT\|New Milford, CT	Current employment
WALNUT STREET SECURITIES, INC.	Former SEC adviser	Aug 1, 2003	Sep 3, 2013	no	DANBURY, CT\|DANBURY, CT	Previous registration
MATSON FINANCIAL ADVISORS, INC.	Independent wealth	Nov 12, 2001	Dec 12, 2022	no	DANBURY, CT	Previous registration
NATHAN & LEWIS SECURITIES, INC.	n/a	Jan 5, 2001	Aug 1, 2003	no	DANBURY, CT	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
MATSON FINANCIAL ADVISORS, INC.	WALNUT STREET SECURITIES, INC.	Dec 12, 2022	Aug 1, 2003	-7,073	Firm change after gap	Other
WALNUT STREET SECURITIES, INC.	CETERA INVESTMENT ADVISERS LLC	Sep 3, 2013	Jun 29, 2023	3,586	Firm change after gap	Other
NATHAN & LEWIS SECURITIES, INC.	MATSON FINANCIAL ADVISORS, INC.	Aug 1, 2003	Nov 12, 2001	-627	Firm change after gap	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ MATSON FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Nov 12, 2001 to Dec 12, 2022factForm ADV
→ WALNUT STREET SECURITIES, INC.Registered adviserregistration: previous registration
Aug 1, 2003 to Sep 3, 2013factForm ADV
→ NATHAN & LEWIS SECURITIES, INC.Registered adviserregistration: previous registration
Jan 5, 2001 to Aug 1, 2003factForm ADV

Dated events

Occurred
Dec 12, 2022
Advisor changed firm
Wayne Leroy Locke left Matson Financial Advisors, Inc. for Walnut Street Securities, Inc. (registered 2003-08-01)
Form ADVobserved 6 days ago