Cynthia D. Wade
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Cynthia Denice Wade, who also goes by Cindy Staley Wade, Cindy Wade, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1994. Cynthia had worked at 11 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2012 - January 7, 2013
STATE FARM VP MANAGEMENT CORP.
October 4, 2011 - January 6, 2012
SPC
October 4, 2011 - January 6, 2012
PARKLAND SECURITIES, LLC
March 14, 2011 - October 10, 2011
WADDELL & REED
March 14, 2011 - October 10, 2011
WADDELL & REED
January 21, 2010 - November 23, 2010
LPL FINANCIAL LLC
October 6, 2009 - November 23, 2010
LPL FINANCIAL LLC
July 27, 2009 - October 7, 2009
CETERA INVESTMENT SERVICES LLC
July 27, 2009 - October 7, 2009
CETERA INVESTMENT SERVICES LLC
January 28, 2008 - July 15, 2009
CHASE INVESTMENT SERVICES CORP.
January 28, 2008 - July 15, 2009
CHASE INVESTMENT SERVICES CORP.
January 18, 2007 - February 4, 2008
OSAIC FS, INC.
January 3, 2007 - February 4, 2008
OSAIC FS, INC.
November 11, 2002 - October 31, 2005
PARKLAND SECURITIES, LLC
July 29, 1999 - November 8, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 16, 1999 - November 8, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 20, 1998 - July 19, 1999
IFG NETWORK SECURITIES, INC.
August 22, 1994 - January 27, 1998
NEW ENGLAND SECURITIES
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
Current Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WIEDUWILT, ANDREW PATRICK | VICE PRESIDENT | 8074278 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
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.
