Wade A. Suki

CAPITAL ONE SECURITIES

Plano, TX 75024

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CRD#: 2653755

Professional summary

Wade Anthony Suki is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in Plano, Texas.

Wade is registered as a RR (Registered Representative) and started their career in finance in 1995. Wade has worked at 6 firms and has passed the Series 63, Series 65, Series 87, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Wade Anthony Suki's 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

February 28, 2023 - Present

CAPITAL ONE SECURITIES, INC.

Office #1: 7941 Dominion Parkway, Plano, TX 75024

CRD#: 44158

Plano, TX

Past

June 17, 2011 - January 26, 2016

ROUNDROCK CAPITAL PARTNERS, L.P.

RIA

CRD#: 117615

DALLAS, TX

Past

May 25, 2004 - March 17, 2006

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

April 24, 2001 - April 6, 2004

J.P. MORGAN SECURITIES INC.

RIA

CRD#: 18718

HOUSTON, TX

Past

April 24, 2001 - May 26, 2004

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

January 6, 2000 - April 10, 2001

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

May 15, 1997 - January 11, 2000

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

Past

September 19, 1995 - October 15, 1996

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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

Texas
(3/20/2023)

Exams

State Security Law Exam

Series 63

Date: 3/18/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/4/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 87

Date: 2/18/2023

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

SIE

Date: 1/27/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/16/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/18/1995

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CAPITAL ONE SECURITIES, INC.

CAPITAL ONE SECURITIES, INC. | SOUTHCOAST CAPITAL L.L.C. | HIBERNIA SOUTHCOAST CAPITAL, INC. | CAPITAL ONE SOUTHCOAST, INC | CAPITAL ONE SOUTHCOAST

CRD#: 44158 / SEC#: , 8-50561

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

201 St. Charles Avenue Suite 1830, New Orleans, LA 70170

Mailing Address

201 St. Charles Avenue Suite 1830, New Orleans, LA 70170

Phone number

(504) 533-7377

Established

Louisiana since 04/01/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CAPITAL ONE FINANCIAL CORPORATION	100% SHAREHOLDER
GIBNEY, JOSEPH DONOUGH	DIRECTOR	3117394
HALPRIN, GABRIELLE BAILLEUX	CHIEF FINANCIAL OPERATIONS OFFICER (FINOP)	5087341
JOHNSON, RUSSELL ALAN	DIRECTOR	2785704
KUCERA, DAVID JOHN	DIRECTOR	2598213
MULLIGAN, ROBERT	CHIEF COMPLIANCE OFFICER	1584973
NAKAMURA, SEIJI PETER	DIRECTOR	2561992
PORPHY, JEFFREY R	DIRECTOR	4107535
TULIP, STEVEN ANDREW	PRESIDENT AND DIRECTOR	2540149

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Wade A. Suki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wade Anthony Suki's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROUNDROCK CAPITAL PARTNERS, L.P.

BANC OF AMERICA SECURITIES LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES INC.

BANC OF AMERICA SECURITIES LLC

DEAM INVESTOR SERVICES, INC.

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 63

Date: 3/18/2023

Series 65

Date: 8/4/1997

Series 87

Date: 2/18/2023

SIE

Date: 1/27/2023

Series 7

Date: 3/16/2000

Series 6

Date: 9/18/1995

FINRA

Current Firm

CAPITAL ONE SECURITIES, INC.

Contact information

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPITAL ONE SECURITIES, INC.

TRUST BUT VERIFY

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