Richard J. 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.
Richard Joseph Wade JR, who also goes by Richard Wade, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 5 firms and has passed the SIE, Series 7, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2015 - May 8, 2017
SCHOTTENFELD GROUP LLC
March 10, 2015 - July 3, 2017
KOYOTE TRADING LLC
December 13, 2011 - June 20, 2013
REDI GLOBAL TECHNOLOGIES LLC
December 5, 2002 - June 20, 2013
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
February 21, 1995 - December 20, 2002
GOLDMAN SACHS & CO. LLC
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
Series 8
Date: 6/12/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCHOTTENFELD GROUP LLC
CRD#: 128103 / SEC#: , 8-66088
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHOTTENFELD, RICHARD PAUL | MANAGING MEMBER, CEO | 1280443 |
| KOCH, DAVID KENNETH | VICE PRESIDENT & SECRETARY, MEMBER | 2422912 |
| WEISS, RONALD MICHAEL | PRESIDENT, MEMBER | 462488 |
| ROSEN, LUCAS GABRIEL | MEMBER | 2443280 |
| RISI, SALVATORE ANTHONY | CHIEF FINANCIAL OFFICER/FINOP | 1072513 |
| WADE, RICHARD JOSEPH JR | CHIEF COMPLIANCE OFFICER | 1455700 |
| WEISS, BRYAN EVAN | MEMBER | 4439851 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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