Wade A. Monroe
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 Alan Monroe JR, CFP®, CIMA®, who also goes by Wade Alan Monroe, was a registered financial professional .
Wade is a previously registered financial professional and started their career in finance in 2005. Wade had worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2019
Experience
July 14, 2014 - October 4, 2022
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC
March 23, 2012 - June 4, 2014
VIRTUS CAPITAL ADVISERS, LLC
August 20, 2008 - June 6, 2014
FORESIDE ASSOCIATES, LLC
July 21, 2008 - August 20, 2008
TRUIST INVESTMENT SERVICES, INC.
April 18, 2005 - July 8, 2008
ENTERPRISE FUND DISTRIBUTORS, INC.
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
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC
CRD#: 106060 / SEC#: 802-132198
Contact information
Documents
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 | ||
| 12/02/2022 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Active | 2/14/2025 |
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.
