Brian Gordon Wade
Professional Summary
Brian Gordon Wade is a registered financial advisor currently at ARDENT CAPITAL MANAGEMENT, INC. located in Cincinnati, Ohio. Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Brian has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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CAPITAL ADVISORY SERVICES, LLC
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
33 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ARDENT CAPITAL MANAGEMENT, INC. | WINSTON INVESTMENT MANAGEMENT, INC. | WINSTON ADVISORS INC
Contact Information
Main Address
7864 Camargo Rd Suite 100, Cincinnati, OH 45243Phone Number
(513) 831-9393# of Employees
5SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
305AUM (Assets Under Management)
$327,015,414Similar Advisors
CAPITAL ADVISORY SERVICES, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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CAPITAL ADVISORY SERVICES, LLC
Primary Firm SEC Registration
ARDENT CAPITAL MANAGEMENT, INC. | WINSTON INVESTMENT MANAGEMENT, INC. | WINSTON ADVISORS INC
State Registrations and Notice Filings
(2/23/2017)
(11/27/2018)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 1993About the Series 6 examSimilar Advisors
CAPITAL ADVISORY SERVICES, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Brian Gordon Wade's CRS (Customer Relationship Summary).
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CAPITAL ADVISORY SERVICES, LLC