Matthew T. 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.
Matthew Thomas Wade, who also goes by Matt Wade, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1986. Matthew had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2003 - October 13, 2003
CAPITAL ONE INVESTMENT SERVICES LLC
May 11, 1999 - June 3, 2003
ESSEX NATIONAL SECURITIES, LLC
February 18, 1998 - February 1, 1999
AFS BROKERAGE, INC.
September 21, 1995 - February 18, 1998
AEGON USA SECURITIES INC.
April 7, 1989 - March 15, 1995
CAL FED INVESTMENTS
August 25, 1986 - September 22, 1986
GREENTREE SECURITIES CORP.
August 25, 1986 - April 8, 1989
BERNARD HEROLD & CO., 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
CAPITAL ONE INVESTMENT SERVICES LLC
CRD#: 25658 / SEC#: , 8-41948
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| 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.
