Robert J. Wade

PENSERRA SECURITIES

New York, NY 10018

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CRD#: 2330114

Professional summary

Robert John Wade is a registered financial professional currently at PENSERRA SECURITIES, LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1993. Robert has worked at 7 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

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The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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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

January 31, 2012 - Present

PENSERRA SECURITIES, LLC

Office #1: 530 Seventh Ave Suite 2802, New York, NY 10018

CRD#: 145994

New York, NY

Past

September 3, 2009 - January 27, 2012

VCG SECURITIES, LLC

CRD#: 149083

NEW YORK, NY

Past

August 31, 2009 - September 13, 2010

GAR WOOD SECURITIES, LLC

CRD#: 138033

NEW YORK, NY

Past

October 8, 2007 - August 31, 2009

CANTOR FITZGERALD & CO.

CRD#: 134

SHREWSBURY, NJ

Past

May 13, 2003 - October 11, 2007

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

RED BANK, NJ

Past

May 17, 1999 - May 30, 2003

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

May 21, 1993 - May 20, 1999

NATIVE NATIONS SECURITIES, INC.

CRD#: 334

JERSEY CITY, NJ

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

California
(1/31/2012)

New Jersey
(1/31/2012)

New York
(1/31/2012)

Exams

State Security Law Exam

Series 63

Date: 1/29/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 5/18/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/20/1993

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

PENSERRA SECURITIES, LLC

PENSERRA SECURITIES | PENSERRA SECURITIES, LLC

CRD#: 145994 / SEC#: , 8-67773

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

4 Orinda Way Suite 100-a, Orinda, CA 94563

Mailing Address

4 Orinda Way Suite 100-a, Orinda, CA 94563

Phone number

(646) 459-0581

Established

New York since 02/27/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PENSERRA FINANCIAL VENTURES LLC	HOLDING COMPANY / MEMBER
CASTELLI, ANTHONY NMN	COO	4409925
GEIGER, LEE WILSON	FINOP	1552293
JOSEPH, ELOIS L'KEKSHA	CCO	5449352
MADRIGAL, JORGE NMN	PRESIDENT & CEO / MEMBER	3204950

Red Flags

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Robert J. Wade

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert John Wade's CRS (Customer Relationship Summary).

Certified licenses

Experience

VCG SECURITIES, LLC

GAR WOOD SECURITIES, LLC

CANTOR FITZGERALD & CO.

SCOTT & STRINGFELLOW, LLC

RAYMOND JAMES & ASSOCIATES, INC.

NATIVE NATIONS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/29/1998

Series 57TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 5/18/2000

Series 7

Date: 5/20/1993

FINRA

Nasdaq Stock Market

Current Firm

PENSERRA SECURITIES, LLC

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PENSERRA SECURITIES, LLC

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