Thomas E. Wade
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas E Wade, CFP®, who also goes by Thomas Emerson Wade, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1991
Experience
March 17, 2004 - October 24, 2005
PURSHE KAPLAN STERLING INVESTMENTS
November 3, 2000 - February 19, 2003
59 WALL STREET DISTRIBUTORS, INC.
February 4, 1999 - March 20, 2025
DEVONSHIRE ASSET MANAGEMENT, INC.
December 10, 1997 - February 14, 2001
GARRETT NAGLE & CO., INC.
January 14, 1993 - November 24, 1997
KOBREN INSIGHT BROKERAGE, INC
January 21, 1988 - September 8, 1992
THE ADVISORS GROUP, INC.
August 29, 1985 - January 14, 1988
LEHMAN BROTHERS INC.
March 22, 1983 - July 26, 1985
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
