Randall E. 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.
Randall Edwin Wade, who also goes by Randy Wade, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1986. Randall had worked at 5 firms and has passed the Series 63, SIE, Series 87, Series 3, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 1997 - October 18, 1999
COLLEGE & UNIVERSITY SECURITIES CORPORATION
January 1, 1991 - November 6, 2018
VINING-SPARKS IBG, LLC
November 1, 1990 - November 6, 2018
ICBA SECURITIES
October 15, 1990 - January 1, 1991
VINING-SPARKS SECURITIES, INC.
November 21, 1986 - October 15, 1990
UNION PLANTERS INVESTMENT BANKERS GROUP, 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
COLLEGE & UNIVERSITY SECURITIES CORPORATION
CRD#: 42468 / SEC#: , 8-49859
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CENTRAL ASSOCIATION OF COLLEGE AND UNIVERSITY BUSINESS OFFICERS | PARENT CORPORATION | |
| BARNES, JAMES A | DIRECTOR | |
| BENKEN, JAMES EDWARD | DIRECTOR | |
| DODSON, JAMES MARSHALL | DIRECTOR | |
| GLADNEY, HAROLD LAMAR | COMPLIANCE OFFICER | 1189322 |
| HUNKINS, DONALD E | DIRECTOR | |
| LEVINGSTON, LARRY BRUCE | CFO/TREASURER | 1028551 |
| MOULTON, JEANNE MARIE | EVP/SECRETARY | 2092778 |
| PATTERSON, JOHN DALE | DIRECTOR | |
| RATZLOFF, KEITH L | CHAIRMAN | |
| SCOTT, FRANCIS JOSEPH | HEAD TRADER | 818820 |
| SHIRLEY, MICHAEL SLEET | DIRECTOR | |
| SORENSEN, ROBERT SIDNEY | DIRECTOR | |
| WADE, RANDALL EDWIN | PRESIDENT | 1572823 |
| WATSON, ELAINE MCINTYRE | DIRECTOR |
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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