Gregory R. 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.
Gregory Raymond Wade was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2003. Gregory had worked at 3 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 79, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2015 - April 21, 2021
BTIG, LLC
March 6, 2009 - May 19, 2014
WEDBUSH SECURITIES INC.
February 26, 2003 - July 8, 2009
PACIFIC GROWTH EQUITIES, LLC
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
Series 7TO
Date: 3/17/2024
General Securities Representative ExaminationSeries 79TO
Date: 3/17/2024
Investment Banking Registered Representative ExaminationCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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.
