Wade B. Whitham
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 Bennett Whitham was a registered financial professional .
Wade is a previously registered financial professional and started their career in finance in 2006. Wade had worked at 4 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2016 - October 1, 2025
CENTRAL STATES CAPITAL MARKETS, LLC
December 6, 2011 - November 9, 2012
COMMERCE WEALTH ADVISERS, LLC
September 1, 2011 - September 11, 2015
CENTRAL STATES CAPITAL MARKETS, LLC
January 23, 2009 - November 22, 2011
COMMERCE WEALTH ADVISERS, LLC
April 3, 2008 - November 22, 2011
DEWAAY CAPITAL MANAGEMENT
December 7, 2006 - March 28, 2008
M&I INVESTMENT MANAGEMENT CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
CENTRAL STATES CAPITAL MARKETS, LLC
CRD#: 155291 / SEC#: 801-79295, 8-68711
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLASSEN, MARK K | MEMBER | 6886821 |
| CENTRAL STATES FINANCIAL SERVICES, LLC | HOLDING COMPANY; MEMBER | |
| YOUNG, ROBERT MORRIS JR | CHAIRMAN & CCO | 501297 |
| ADDISON, LAURIE ANNE | CHIEF FINANCIAL OFFICER & FINOP | 7488882 |
| HORTON, MICHAEL ALAN | DIRECTOR, BRANCH MANAGER | 1041106 |
| STEPP, JOHN DANIEL | MANAGING DIRECTOR, CEO; ELECTED MANAGER | 501417 |
Regulatory assets under management
| Total Number of Accounts | 38 |
| AUM (Assets Under Management) | $ 27,936,117 |
Disclosures
| Regulatory Event | 6 |
| Criminal | 3 |
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.
