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Michael Pemstein

CRD# 7417103·Registered 2022 - 2023
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Pemstein was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 2022 - 2023. Michael had worked at 1 firm and has passed the Series 65 exam.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

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.

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Years of Experience

4 years in the financial services industry

Current & Past Employments

GW & WADE, LLC·CRD# 105394
RIA
Wellesley, MA
January 19, 2022 - February 22, 2023

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Current Firm

G&
GW & WADE, LLC

D. K. BREDE INVESTMENT MANAGEMENT COMPANY | GW & WADE, LLC | GW & WADE INC

CRD#: 105394 / SEC#: 801-27292

Contact Information

Main Address

93 Worcester Street 4th Floor, Wellesley, MA 02481

Phone Number

(781) 239-1188

# of Employees

87

Documents

Latest Form ADV

Part 2 Brochures

GW & WADE, LLC PART 2A BROCHURE (2/8/2024)

Regulatory Assets Under Management

Total Number of Accounts

11,861

AUM (Assets Under Management)

$8,902,726,024

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
11/09/2023Cover PageReport

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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.

1) Aksel Nielsen Foundation; Investment related yes; 278 Huron Ave. Cambridge, MA 02138; Private Grant Making Foundation; Treasurer, Trustee on Board of Trustees; Start date: 2002; Approximate number of hours/month devoted to the other business 6-10; Number of hours devoted to the other business during securities trading hours 1-5; As trustee, I also participate in the decision making process relating to investments, tax, and annual grants and gifts made by the foundation. No financial interest in organization. I am reimbursed deminimis expenses related to investment research for the Foundation. I am also reimbursed for travel and lodging expenses each year to attend the Board of Trustees annual meeting. 2) Camp Avoda Board of Directors; Investment related No; 23 Gibbs Road Middleboro, MA 02346; Non-profit overnight Jewish summer camp; Member, Board of Directors; Start date: 11/2/2021; Approximate number of hours/month devoted to the other business 1-5; Number of hours devoted to the other business during securities trading hours 1-5; Support and advise Camp Avoda in conducting its business, Attend quarterly board meetings and less frequent sub-committee and working group meetings. No compensation received.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 2022About the Series 65 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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