Wade E. Sanders

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CRD#: 2851976

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.

Wade Earl Sanders, CFP® was a registered financial professional .

Wade is a previously registered financial professional and started their career in finance in 1997. Wade had worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Employee and Employer Plan Ben...

Retirement Planning

Insurance Planning

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.

Registered representative of Westminster Financial Securities, Inc. 40 North Main Street, Suite 2400 Dayton, OH 45423 approx. 5 hours a week. Investment advisory representative of Concorde Financial Resources, LLC 1702 West US Hwy 421, Suite P Wilkesboro, NC 28697 approx. 35 hours a week. Life insurance sales through outside brokers approx. 10 hours a month. Non-investment related: Real estate rental properties approx. 15 hours a month during non-trading hours includes purchasing and renovation of properties, rental maintenance, and collections.

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®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Past

March 5, 2014 - June 5, 2024

CONCORDE FINANCIAL RESOURCES

RIA

CRD#: 117836

WILKESBORO, NC

Past

August 31, 2001 - June 5, 2024

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

Wilkesboro, NC

Past

March 18, 1997 - September 14, 2001

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

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".

CONCORDE FINANCIAL RESOURCES

CONCORDE FINANCIAL RESOURCES | CONCORDE FINANCIAL RESOURCES, LLC | CONCORDE FINANCIAL RESOURCES I INC.

CRD#: 117836 / SEC#: 801-113094

RIA

Registered Investment Advisory firm - (4/25/2018 Approved)

Florida

Registered Investment Advisory firm - (4/30/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (4/30/2018 Terminated)

South Carolina

Registered Investment Advisory firm - (4/30/2018 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

IAR

Series 65

Date: 5/2/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/1/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/6/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/6/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

CONCORDE FINANCIAL RESOURCES

CONCORDE FINANCIAL RESOURCES | CONCORDE FINANCIAL RESOURCES, LLC | CONCORDE FINANCIAL RESOURCES I INC.

CRD#: 117836 / SEC#: 801-113094

RIA

Registered Investment Advisory firm - (4/25/2018 Approved)

Florida

Registered Investment Advisory firm - (4/30/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (4/30/2018 Terminated)

South Carolina

Registered Investment Advisory firm - (4/30/2018 Terminated)

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Contact information

Main Address

12b N. Congress Street, York, SC 29745

Mailing Address

Phone number

(336) 838-4100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CONCORDE FINANCIAL RESOURCES ADV PART 2 FEBRUARY 2025 (2/24/2025)

Regulatory assets under management

Total Number of Accounts	515
AUM (Assets Under Management)	$ 211,197,002

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Wade E. Sanders

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WESTMINSTER FINANCIAL SECURITIES, INC.

WACHOVIA SECURITIES, INC.

Primary Firm SEC Registration

CONCORDE FINANCIAL RESOURCES

State Registrations and Notice Filings

Exams

Series 65

Date: 5/2/1997

Series 63

Date: 4/1/1997

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1997

Series 10

Date: 2/6/2001

Series 9

Date: 2/6/2001

Current Firm

CONCORDE FINANCIAL RESOURCES

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONCORDE FINANCIAL RESOURCES

TRUST BUT VERIFY

Contact information

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