Erin K. Wade

NATIONS FINANCIAL GROUP

Littleton, CO 80120

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CRD#: 2146881

Professional summary

Erin K Wade, who also goes by Erin Kay Wade Ferri, Erin W Peters, Erin Kay Wade, is a registered financial professional currently at NATIONS FINANCIAL GROUP, INC. located in Littleton, Colorado.

Erin is registered as a RR (Registered Representative) and started their career in finance in 1992. Erin has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Erin Kay Wade Ferri | Erin W Peters | Erin Kay Wade

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Erin K Wade's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 2, 2021 - Present

NATIONS FINANCIAL GROUP, INC.

Office #1: 5656 S Sycamore St, Littleton, CO 80120

RIA

CRD#: 44181

Littleton, CO

Past

May 16, 2001 - May 20, 2003

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

June 7, 2000 - May 18, 2001

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

November 8, 1999 - June 8, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 31, 1993 - August 11, 1998

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 15, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 22, 1992 - January 27, 1993

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NATIONS FINANCIAL GROUP, INC.

FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.

CRD#: 44181 / SEC#: 801-57407, 8-50588

RIA

Registered Investment Advisory firm - SEC (5/3/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(3/2/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/26/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/2/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/9/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/6/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/20/1992

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NATIONS FINANCIAL GROUP, INC.

FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.

CRD#: 44181 / SEC#: 801-57407, 8-50588

RIA

Registered Investment Advisory firm - SEC (5/3/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411

Mailing Address

3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411

Phone number

(319) 393-9541

Established

Iowa since 11/14/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (44 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 33025 (3/26/2025)

WRAP BROCHURE 33025 (3/26/2025)

Direct owners and executive officers

Name	Position	CRD#
NFGI HOLDING CORPORATION	HOLDING CORPORATION
BENNETT, RICHARD SCOTT	CEO - CFO	858716
BJORSETH, ERIK JOHN	CHIEF GROWTH OFFICER	4404352
CAIRNEY, STEPHEN MICHAEL	PRESIDENT	3085019
KROUSIE, TRACEY LYNN	CHIEF OPERATIONS OFFICER	4475482
REIGHARD-KEAN, VICKI LIN	CHIEF COMPLIANCE OFFICER	4238486

Regulatory assets under management

Total Number of Accounts	9,822
AUM (Assets Under Management)	$ 3,867,522,560

Disclosures

Arbitration	1
Bond	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/26/2025	Cover Page	Report
09/26/2024	Cover Page	Report
11/22/2023	Cover Page	Report
12/28/2022	Cover Page	Report

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.

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Firm Stability Insights

Erin K. Wade

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Erin K Wade's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

PIPER SANDLER & CO.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

NATIONS FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/26/2021

Series 7TO

Date: 3/2/2021

SIE

Date: 2/9/2021

Series 3

Date: 2/6/1995

Series 7

Date: 4/20/1992

FINRA

Current Firm

NATIONS FINANCIAL GROUP, INC.

Contact information

SEC notice filing (44 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

NATIONS FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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