Julia K. Wade

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CRD#: 2693119

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.

Julia Kay Wade, who also goes by Julie K Dorenkemper, Julie Kay Wade, was a registered financial professional .

Julia is a previously registered financial professional and started their career in finance in 1996. Julia had worked at 7 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Julie K Dorenkemper | Julie Kay 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 22, 2018 - September 14, 2022

ALLWORTH FINANCIAL, L.P.

RIA

CRD#: 111167

CINCINNATI, OH

Past

April 16, 2015 - February 7, 2019

SIMPLY MONEY ADVISORS

RIA

CRD#: 106619

CINCINNATI, OH

Past

August 2, 2011 - November 21, 2013

OSAIC WEALTH, INC.

CRD#: 23131

CINCINNATI, OH

Past

February 13, 2006 - June 9, 2011

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

CINCINNATI, OH

Past

January 5, 2005 - February 16, 2006

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

November 26, 1997 - August 18, 2004

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

May 10, 1996 - November 14, 1997

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

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".

ALLWORTH FINANCIAL, L.P.

CRD#: 111167 / SEC#: 801-68255

RIA

Registered Investment Advisory firm - (8/27/2007 Approved)

California

Registered Investment Advisory firm - (8/30/2007 Terminated)

Georgia

Registered Investment Advisory firm - (8/29/2007 Terminated)

Illinois

Registered Investment Advisory firm - (8/29/2007 Terminated)

Texas

Registered Investment Advisory firm - (8/29/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/29/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

State Security Law Exam

Series 63

Date: 2/13/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/9/1996

General Securities Representative Examination

Current Firm

ALLWORTH FINANCIAL, L.P.

CRD#: 111167 / SEC#: 801-68255

RIA

Registered Investment Advisory firm - (8/27/2007 Approved)

California

Registered Investment Advisory firm - (8/30/2007 Terminated)

Georgia

Registered Investment Advisory firm - (8/29/2007 Terminated)

Illinois

Registered Investment Advisory firm - (8/29/2007 Terminated)

Texas

Registered Investment Advisory firm - (8/29/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/29/2007 Terminated)

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Contact information

Main Address

340 Palladio Pkwy. Suite 501, Folsom, CA 95630

Mailing Address

Phone number

(916) 482-2196

Established

Firm type

Fiscal year end

# of Employees

466

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RETAIL FORM ADV PART 2A: FIRM BROCHURE (7/1/2025)

FORM ADV PART 2A: APPENDIX 1 - WRAP FEE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	64,930
AUM (Assets Under Management)	$ 25,097,132,975

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/05/2025	Cover Page	Report

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.

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Firm Stability Insights

Julia K. Wade

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIMPLY MONEY ADVISORS

OSAIC WEALTH, INC.

ROBERT W. BAIRD & CO. INCORPORATED

FIFTH THIRD SECURITIES, INC.

KEYBANC CAPITAL MARKETS INC.

CONSECO SECURITIES, INC.

Primary Firm SEC Registration

ALLWORTH FINANCIAL, L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/13/1998

Series 7

Date: 5/9/1996

Current Firm

ALLWORTH FINANCIAL, L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLWORTH FINANCIAL, L.P.

TRUST BUT VERIFY

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