Michael James Wade
Professional Summary
Michael James Wade, who also goes by Mike Wade, is a registered financial advisor currently at FEF DISTRIBUTORS, LLC located in Sausalito, California. Michael is registered as a RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael James Wade, Mike Wade
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
19 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
ASB SECURITIES, INC. | FEF DISTRIBUTORS, LLC | ASB SECURITIES, LLC
Contact Information
Main Address
1345 Avenue Of The Americas, New York, NY 10105-4800Mailing Address
1345 Avenue Of The Americas, New York, NY 10105-4800Phone Number
(212) 698-3300Established
Delaware since 01/27/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST EAGLE INVESTMENT MANAGEMENT, LLC | MANAGING MEMBER | 108260 |
| BRUNO, ROBERT | MANAGER | 2102844 |
| CONSTANTINO, MICHAEL | MANAGER | 2932606 |
| DILLON, ERIN KAY | CHIEF COMPLIANCE OFFICER | 6173659 |
| FONG, CHUN WAI | CHIEF FINANCIAL OFFICER AND FINOP | 4944446 |
| OCONNOR, DAVID | GENERAL COUNSEL AND MANAGER | 5077118 |
| RICCIO, FRANK JOSEPH | PRESIDENT AND MANAGER | 4271374 |
Disclosures
Regulatory Event
1Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
(11/4/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2007About the Series 6 examSRO Registrations
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary) - BD
Click below to view Michael James Wade's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC