Thomas D. Bade
Professional summary
Thomas Dean Bade was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Thomas had worked at 12 firms, which includes ZIONS DIRECT INC., BANC OF AMERICA INVESTMENT SERVICES INC., WAMU INVESTMENTS INC., SUPERIOR FINANCIAL SERVICESINC., AMERIPRISE ADVISOR SERVICES INC., BANC ONE SECURITIES CORPORATION, RBC CAPITAL MARKETS LLC, DAIN RAUSCHER INCORPORATED, RAUSCHER PIERCE REFSNES INC., PRUDENTIAL EQUITY GROUP LLC, CENPAC SECURITIES CORP., FORESTERS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2003 - April 28, 2004
ZIONS DIRECT, INC.
May 6, 2002 - December 18, 2002
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 22, 2001 - May 28, 2002
WAMU INVESTMENTS, INC.
September 19, 2001 - October 31, 2001
SUPERIOR FINANCIAL SERVICES,INC.
August 24, 2001 - September 17, 2001
AMERIPRISE ADVISOR SERVICES, INC.
May 21, 2001 - July 2, 2001
BANC ONE SECURITIES CORPORATION
March 2, 1998 - March 1, 2001
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
November 17, 1995 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
June 18, 1991 - October 10, 1995
PRUDENTIAL EQUITY GROUP, LLC
May 10, 1990 - June 19, 1991
CENPAC SECURITIES CORP.
June 2, 1989 - June 5, 1990
FORESTERS FINANCIAL SERVICES, 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
Series 8
Date: 8/5/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ZIONS DIRECT, INC.
CRD#: 17776 / SEC#: , 8-35721
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZIONS BANCORPORATION, N.A. | PARENT COMPANY | |
| BURDISS, PAUL EDWARD | BOARD MEMBER | 7267112 |
| HASH, JENNIFER KYLE | CHIEF COMPLIANCE OFFICER | 4123554 |
| KYRIAKAKIS, CHRISTOPHER | BOARD MEMBER | 8020162 |
| MACDONALD, MICHAEL WHITNEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 4533843 |
| MOORE, RYAN D | FINOP | 7216248 |
| RICHARDS, ROBERT RYAN | BOARD MEMBER | 8021252 |
| STEWARD, DEREK STRIBLING | BOARD MEMBER | 8022102 |
| YU, THOMAS | BOARD MEMBER | 7994635 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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.
