Wade R. Cruce
Professional summary
Wade Roger Don Cruce was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Wade is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Wade had worked at 6 firms, which includes LOCUST STREET SECURITIES INC., OSAIC FS INC., LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION, UNITED PACIFIC SECURITIES INC., INTERVEST INTERNATIONAL EQUITIES CORPORATION, PROGRAMMED EQUITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 1999 - January 22, 2002
LOCUST STREET SECURITIES, INC.
October 1, 1997 - November 10, 1999
OSAIC FS, INC.
July 17, 1995 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
May 27, 1994 - July 12, 1995
UNITED PACIFIC SECURITIES, INC.
May 23, 1994 - June 8, 1994
INTERVEST INTERNATIONAL EQUITIES CORPORATION
August 1, 1991 - May 23, 1994
PROGRAMMED EQUITIES CORPORATION
September 17, 1987 - December 19, 1989
OSAIC FS, 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
LOCUST STREET SECURITIES, INC.
CRD#: 1703 / SEC#: , 8-14037
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ING ADVISORS NETWORK. INC | SOLE SHAREHOLDER | |
| COKINIS, CHRISTOPHER ALEX | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND SECRETARY | 1527389 |
| FRIEBERG, DAVID EUGENE | VICE PRESIDENT, RECRUITING | 1289486 |
| LARAIA, KEVIN MICHAEL | TREASURER, VICE PRESIDENT FINANCE & OPERATIONS, FIN OP, COO | 2456743 |
| LINDBERG, KARL STEPHEN | PRESIDENT/DIRECTOR | 1001270 |
| SIMMERS, JOHN STEPHEN | CHAIRMAN OF BOARD | 711578 |
| STEPHENS, LYNN ANNETTE | VICE PRESIDENT, BUSINESS DEVELOPMENT | 2169858 |
| STYCH, KEVIN PAUL | VICE PRESIDENT, SALES & MARKETING | 1904094 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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