Robert R. 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.
Robert Roscoe Wade was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 9 firms and has passed the Series 65, Series 63, SIE 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
Experience
November 16, 2021 - July 13, 2022
BUCKMAN ADVISORY GROUP LLC
November 9, 2021 - July 13, 2022
BUCKMAN, BUCKMAN & REID, INC.
April 20, 2020 - November 1, 2021
CETERA WEALTH SERVICES, LLC
April 20, 2020 - November 1, 2021
CETERA WEALTH SERVICES, LLC
January 19, 2011 - March 6, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
December 17, 2010 - March 6, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
June 18, 2010 - December 22, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2006 - December 22, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 11, 1996 - March 8, 2006
ADVEST, INC.
September 17, 1992 - October 28, 1996
UBS FINANCIAL SERVICES INC.
April 25, 1988 - September 22, 1992
A. G. EDWARDS & SONS, INC.
November 23, 1983 - April 28, 1988
PHILIPS, APPEL & WALDEN, INC.
Primary Firm SEC Registration
BUCKMAN ADVISORY GROUP LLC
CRD#: 131688 / SEC#: 801-63540
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
BUCKMAN ADVISORY GROUP LLC
CRD#: 131688 / SEC#: 801-63540
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 834 |
| AUM (Assets Under Management) | $ 236,142,403 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2025 | ||
| 11/20/2024 | ||
| 03/04/2024 | ||
| 07/05/2022 |
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.
