Randall M. 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 Martin Wade, who also goes by Randy Wade, was a registered financial advisor .
Randall is a previously registered financial advisor and started their career in finance in 1987. Randall had worked at 9 firms and has passed the Series 65, 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 11, 2012 - December 6, 2012
SECURITIES AMERICA, INC.
September 10, 2012 - December 6, 2012
SECURITIES AMERICA ADVISORS, INC.
December 7, 2011 - September 10, 2012
FINANCIAL WEST GROUP
November 23, 2011 - September 10, 2012
FINANCIAL WEST GROUP
September 19, 2007 - November 21, 2011
TORREY PINES SECURITIES, INC.
September 19, 2007 - November 21, 2011
TORREY PINES SECURITIES, INC.
April 5, 2006 - September 18, 2007
FIRST WALL STREET CORP.
July 9, 2002 - December 31, 2005
FIRST WALL STREET CORP.
September 18, 1998 - September 18, 2007
FIRST WALL STREET CORP.
November 26, 1996 - September 23, 1998
UBS FINANCIAL SERVICES INC.
July 31, 1993 - December 5, 1996
CITIGROUP GLOBAL MARKETS INC.
September 15, 1987 - July 31, 1993
LEHMAN BROTHERS INC.
February 26, 1987 - September 16, 1987
RCL NORTHWEST, 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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
