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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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YW

Yancey O. Wade

Some features on this profile are disabled
CRD#: 2645247
YW

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.

Yancey O'brien Wade, who also goes by Yancey Obrien Wade, Yancey Wade, was a registered financial professional .

Yancey is a previously registered financial professional and started their career in finance in 1995. Yancey had worked at 10 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 55, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Yancey Obrien Wade | Yancey 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 28, 2019 - February 5, 2026

SAGESPRING WEALTH PARTNERS

RIA
CRD#: 283515
FRANKLIN, TN
Past

July 1, 2019 - December 19, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
FRANKLIN, TN
Past

July 6, 2016 - June 21, 2019

WEDBUSH SECURITIES INC.

RIA
CRD#: 877
LOS ANGELES, CA
Past

July 6, 2016 - June 21, 2019

WEDBUSH SECURITIES INC.

BD
CRD#: 877
LOS ANGELES, CA
Past

October 30, 2014 - July 1, 2016

COMERICA SECURITIES

RIA
CRD#: 17079
LOS ANGELES, CA
Past

October 30, 2014 - July 1, 2016

COMERICA SECURITIES

BD
CRD#: 17079
LOS ANGELES, CA
Past

April 25, 2014 - October 16, 2014

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
BEVERLY HILLS, CA
Past

April 25, 2014 - October 16, 2014

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
BEVERLY HILLS, CA
Past

July 2, 2013 - April 10, 2014

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
MONROVIA, CA
Past

July 2, 2013 - April 10, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
MONROVIA, CA
Past

March 20, 2012 - May 17, 2013

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
GLENDALE, CA
Past

June 30, 2011 - May 17, 2013

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
GLENDALE, CA
Past

April 30, 1999 - July 9, 2002

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA
Past

October 1, 1997 - April 26, 1999

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

September 14, 1995 - October 1, 1997

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA

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".
SW
SAGESPRING WEALTH PARTNERS
SAGESPRING WEALTH PARTNERS | SOUTHWESTERN INVESTMENT ADVISORY SERVICES, LLC | SOUTHWESTERN INVESTMENT ADVISORY SERVICES, INC. | SIAS INSURANCE GROUP

CRD#: 283515 / SEC#: 801-107971

RIA
Registered Investment Advisory firm - (7/6/2016 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/19/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/1/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/29/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 10/20/1999
Limited Representative-Equity Trader Exam
Principal/Supervisory Exam
RR
Series 4
Date: 4/17/2023
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/11/2018
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/19/2016
General Securities Principal Examination

Current Firm

SW
SAGESPRING WEALTH PARTNERS
SAGESPRING WEALTH PARTNERS | SOUTHWESTERN INVESTMENT ADVISORY SERVICES, LLC | SOUTHWESTERN INVESTMENT ADVISORY SERVICES, INC. | SIAS INSURANCE GROUP

CRD#: 283515 / SEC#: 801-107971

RIA
Registered Investment Advisory firm - (7/6/2016 Approved)
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Contact information

Main Address
801 Crescent Centre Drive Suite 600, Franklin, TN 37067
Mailing Address
Phone number
(615) 861-6100
Established
Firm type
Fiscal year end
# of Employees
180

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SAGESPRING WEALTH PARTNERS - FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts10,811
AUM (Assets Under Management)$ 6,485,071,326

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.

Company Information

SAGESPRING WEALTH PARTNERS

CRD#: 283515

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