Catherine L. 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.
Catherine Lou Wade, who also goes by Carrie Philip, Catherine L Philip, Catherine Lou Philip, Cathy Philip, Catherine Smith, Carrie Wade, Catherine Philip Wade, Catherine Wade, was a registered financial advisor .
Catherine is a previously registered financial advisor and started their career in finance in 1985. Catherine had worked at 15 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
September 5, 2006 - December 19, 2007
CROWN CAPITAL SECURITIES, L.P.
September 5, 2006 - December 19, 2007
CROWN CAPITAL SECURITIES, L.P.
March 9, 2006 - October 10, 2006
QA3 FINANCIAL LLC
February 24, 2006 - October 10, 2006
QA3 FINANCIAL CORP.
March 28, 2005 - March 9, 2006
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
August 23, 2001 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 9, 2001 - March 9, 2006
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 1, 1997 - August 14, 2001
SECURITIES AMERICA, INC.
January 30, 1996 - October 6, 1997
LPL FINANCIAL LLC
March 2, 1990 - January 30, 1996
TITAN/VALUE EQUITIES GROUP, INC.
January 25, 1990 - April 9, 1990
NEWPORTFOLIOS SECURITIES CORPORATION
September 28, 1988 - January 23, 1990
ASSOCIATED SECURITIES CORP.
August 17, 1987 - September 20, 1988
WARNER BECK INCORPORATED
August 28, 1986 - October 10, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 28, 1986 - October 10, 1988
EQUITABLE ADVISORS, LLC
July 28, 1986 - August 20, 1987
VALUE EQUITIES CORPORATION
October 30, 1985 - July 25, 1986
PLENGE, THOMAS & GUNNING 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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
