William C. Wade
Professional summary
William Christopher Wade was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial advisor and started their career in finance in 2005. Prior to being barred, William had worked at 9 firms, which includes PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC, USAA FINANCIAL PLANNING SERVICES, USAA FINANCIAL ADVISORS INC., MERIT FINANCIAL ADVISORS, SECURITIES AMERICA ADVISORS INC., SECURITIES AMERICA INC., MML INVESTORS SERVICES LLC, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2012 - April 15, 2016
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
July 22, 2008 - May 1, 2012
USAA FINANCIAL PLANNING SERVICES
July 21, 2008 - May 1, 2012
USAA FINANCIAL ADVISORS, INC.
January 3, 2008 - June 30, 2008
MERIT FINANCIAL ADVISORS
February 20, 2007 - January 3, 2008
SECURITIES AMERICA ADVISORS, INC.
February 2, 2007 - June 28, 2008
SECURITIES AMERICA, INC.
November 29, 2006 - February 13, 2007
MML INVESTORS SERVICES, LLC
September 22, 2005 - November 15, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
September 20, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
September 20, 2005 - November 15, 2006
AMERIPRISE FINANCIAL SERVICES, 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
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
CRD#: 18353 / SEC#: , 8-36540
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIFM HOLDCO, LLC | SOLE MEMBER | |
| HENNING, MEREDITH FARWELL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4315489 |
| LEE, H SOO | SENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER | 6834507 |
| LEIBOWITZ, KAREN | PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER | 2693999 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| TAITE, LOUIS ANTHONY | CHIEF OPERATIONS OFFICER AND SENIOR VICE PRESIDENT | 5065572 |
Disclosures
| Regulatory Event | 6 |
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