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Wayne Alan Cassriel

Investment Adviser Representative at KOVACK ADVISORS, INC.

Santa Barbara, CACRD #2502105Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
31 yrs
States Registered
1 states
Exams Passed
5

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Wayne Alan Cassriel has worked in the securities industry since 1995. They have passed the Series 65, 63, 31, and 7 examinations. They are registered to provide investment advisory services in California.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
California
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 1/31/2006
Series 63
Uniform Securities Agent State Law Examination
Passed 7/27/1994
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 8/10/1994
Series 7
General Securities Representative Examination
Passed 7/19/1994

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.029
Account minimum: $10,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Kovack Advisors, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

KOVACK ADVISORS, INC.Current
5/19/2017Santa Barbara, CA
TKG FINANCIAL, LLC
2/9/20155/20/2017Santa Barbara, CA
SECURITIES AMERICA ADVISORS, INC.
2/8/20135/7/2014Santa Barbara, CA
LPL FINANCIAL LLC
9/29/20102/12/2013Santa Barbara, CA
MISSION WEALTH MANAGEMENT, LLC
10/4/20055/20/2011Santa Barbara, CA
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)
10/3/200511/13/2009Santa Barbara, CA
MORGAN STANLEY
7/8/19978/29/2005Santa Barbar, CA

Official records & sources

Data as of June 21, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Wayne Alan Cassriel has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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