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TW

Thomas F. Wade

SWISS RE CAPITAL MARKETS
New York, NY 10019
Some features on this profile are disabled
CRD#: 5225476
TW

Professional summary

Thomas Francis Wade is a registered financial professional currently at SWISS RE CAPITAL MARKETS CORPORATION located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2007. Thomas has worked at 4 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Francis Wade's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 5, 2012 - Present

SWISS RE CAPITAL MARKETS CORPORATION

Office #1: 1301 Avenue Of The Americas 43rd Floor, New York, NY 10019
BD
CRD#: 39978
New York, NY
Past

June 11, 2009 - June 15, 2011

GALLAGHER SECURITIES, INC

BD
CRD#: 116605
NEW YORK, NY
Past

October 22, 2007 - May 5, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

June 19, 2007 - July 5, 2007

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(1/12/2012)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/5/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/11/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/1/2008
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SR
SWISS RE CAPITAL MARKETS CORPORATION
SWISS RE CAPITAL MARKETS CORPORATION

CRD#: 39978 / SEC#: , 8-48914

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1301 Avenue Of The Americas 43rd Floor, New York, NY 10019
Mailing Address
1301 Avenue Of The Americas 43rd Floor, New York, NY 10019
Phone number
(212) 317-5400
Established
Delaware since 10/17/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SWISS RE AMERICA HOLDING CORPORATIONDIRECT OWNER
CHIN, JIAWEI MSLEGAL COUNSEL7948579
CHODKOWSKI, ADAMDIRECTOR AND CORPORATE SECRETARY
KERENYI, ATTILA FLAVIODIRECTOR7264806
KIELY, JAMES FCHIEF COMPLIANCE OFFICER2457647
MANTEUFEL, MATTHEW THOMASCHIEF FINANCIAL OFFICER, FINANCIAL & OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER7684713
MONNIER, JEAN-LOUIS MARIE MARCELCHIEF EXECUTIVE OFFICER7074379
PELECKIS, ANTHONY J IIICHIEF RISK OFFICER7564033
TOPCUOGLU, SIVEZAT LALEDIRECTOR3265843

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.

Company Information

SWISS RE CAPITAL MARKETS CORPORATION

CRD#: 39978New York, NY 10019

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