Douglas M. 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.
Douglas Mcallister Wade was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1966. Douglas had worked at 10 firms and has passed the Series 63, SIE, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 1999 - March 9, 2017
GOELZER INVESTMENT MANAGEMENT
July 28, 1998 - June 23, 2015
GOELZER INVESTMENT MANAGEMENT
October 15, 1991 - September 24, 1999
GOELZER INVESTMENT MANAGEMENT
September 4, 1990 - September 20, 1991
WELLS FARGO CLEARING SERVICES, LLC
March 4, 1988 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
February 23, 1979 - March 7, 1988
MOSELEY SECURITIES CORPORATION
April 28, 1976 - February 23, 1979
MOSELEY, HALLGARTEN & ESTABROOK INC
April 26, 1974 - April 28, 1976
MOSELEY, HALLGARTEN & ESTABROOK INC.
August 10, 1973 - April 26, 1974
F. S. MOSELEY, ESTABROOK INC.
May 4, 1971 - August 10, 1973
F. S. MOSELEY & CO.
June 22, 1966 - May 21, 1971
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
Primary Firm SEC Registration
GOELZER INVESTMENT MANAGEMENT
CRD#: 44402 / SEC#: 801-55588, 8-50682
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
PC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 4/28/1961
Registered Representative ExaminationCurrent Firm
GOELZER INVESTMENT MANAGEMENT
CRD#: 44402 / SEC#: 801-55588, 8-50682
Contact information
SEC notice filing (21 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FREIHOFER, LISA GOELZER | OWNER | |
| GOELZER, GREGORY WILLIAM | VICE CHAIRMAN AND CEO | 1040238 |
| GOELZER, SANDRA KAY | OWNER | |
| JOAN B GOELZER CREDIT SHELTER TR U/A DTD 1-17-1991 | OWNER | |
| MCKAMEY, BRETT DEAN | PRESIDENT AND COO | 1706545 |
| CONCANNON, JAMES ANDREW | OWNER | 1722214 |
| GOELZER EMPLOYEE STOCK OWNERSHIP PLAN | OWNER | |
| SMITH, NEAL ANDREW | OWNER | 2168145 |
| BUSH, JEFFREY ADAM | CHIEF COMPLIANCE OFFICER | 6157908 |
| RYNERSON, DEBRA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1741218 |
Regulatory assets under management
| Total Number of Accounts | 877 |
| AUM (Assets Under Management) | $ 3,846,550,007 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
