Jon M. Wade
Professional summary
Jon Martee Wade was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jon is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Jon had worked at 15 firms, which includes CAPITAL SECURITIES OF AMERICA INC., THE MALACHI GROUP INC., EMMETT A LARKIN COMPANY INC., DRAKE & COMPANY INC., AMUNI FINANCIAL INC., FIRST ASSOCIATED SECURITIES GROUP INC., FIRST SECURITIES USA INC., MARION BASS SECURITIES CORPORATION, HOWE SOLOMON & HALL INC., POWELL & SATTERFIELD INC., FIRST AMERICAN SECURITIES INC., THE TRADING DESK INC., SETTLES FINANCIAL INVESTMENTS INC., VAUTRAIN NELSON LEFEVRE ENDSLEY AND DURHAM INC., TEXAKOMA FINANCIAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2002 - December 19, 2003
CAPITAL SECURITIES OF AMERICA, INC.
October 21, 2002 - December 19, 2002
THE MALACHI GROUP, INC.
January 11, 2000 - October 4, 2000
EMMETT A LARKIN COMPANY, INC.
October 8, 1999 - December 17, 1999
DRAKE & COMPANY, INC.
September 26, 1996 - October 5, 1999
AMUNI FINANCIAL, INC.
July 25, 1996 - September 24, 1996
FIRST ASSOCIATED SECURITIES GROUP, INC.
June 26, 1996 - September 24, 1996
FIRST SECURITIES USA, INC.
November 7, 1995 - June 26, 1996
FIRST ASSOCIATED SECURITIES GROUP, INC.
February 17, 1995 - November 6, 1995
MARION BASS SECURITIES CORPORATION
September 2, 1994 - February 23, 1995
HOWE, SOLOMON & HALL, INC.
January 9, 1993 - August 4, 1994
AMUNI FINANCIAL, INC.
October 1, 1991 - December 23, 1992
POWELL & SATTERFIELD, INC.
June 6, 1991 - September 27, 1991
FIRST AMERICAN SECURITIES, INC.
April 27, 1990 - May 14, 1990
THE TRADING DESK, INC.
April 19, 1989 - June 18, 1990
SETTLES FINANCIAL INVESTMENTS, INC.
January 10, 1989 - January 26, 1989
VAUTRAIN NELSON LEFEVRE, ENDSLEY AND DURHAM, INC.
July 14, 1988 - November 2, 1988
TEXAKOMA FINANCIAL, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPITAL SECURITIES OF AMERICA, INC.
CRD#: 36405 / SEC#: , 8-47253
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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