Wade M. Hall
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 M Hall was a registered financial professional .
Wade is a previously registered financial professional and started their career in finance in 2002. Wade had worked at 2 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2016 - October 2, 2018
ASTOR RIDGE N.A. LLP
March 28, 2011 - March 10, 2014
NEWEDGE USA, LLC
November 5, 2002 - April 4, 2006
NEWEDGE USA, 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
Current Firm
ASTOR RIDGE N.A. LLP
CRD#: 282626 / SEC#: , 8-69728
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
