Timothy S. 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.
Timothy Stuart Wade, who also goes by Tim Wade, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1984. Timothy had worked at 6 firms and has passed the Series 63, Series 7, Series 6, Series 3 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2013 - April 9, 2013
TD PRIVATE CLIENT WEALTH LLC
June 2, 1995 - March 8, 1999
BNY MELLON SECURITIES CORPORATION
October 29, 1990 - December 10, 1991
CARNEGIE HILL SECURITIES CORPORATION
October 26, 1988 - May 11, 1990
WM SWORD & CO. INCORPORATED
April 11, 1988 - March 8, 1990
LEHMAN BROTHERS INC.
March 22, 1984 - April 11, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
