Jerome Stephen Wade
Professional Summary
Jerome Stephen Wade, who also goes by Jerome S Wade, Jerry Wade, was a registered financial advisor. Jerome was a previously registered financial professional and started their career in finance 1975 - 2003. Jerome had worked at 9 firms and has passed the Series 63, SIE and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jerome S Wade, Jerry Wade
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Videos & Posts
This advisor has not added any videos or posts yet.
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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
51 years in the financial services industry
Current & Past Employments
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Current Firm
MYDISCOUNTBROKER.COM | SOVEREIGN SECURITIES, INC.
Contact Information
Established
Delaware since 10/29/1996Firm Type
CorporationFiscal Year End
JuneDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SWS SECURITIES GROUP, INC. | PUBLICALLY OWNED ENTITY (NYSE-SWS) | — |
| GRISSER, HARRY | CROP/SROP/MUNICIPAL PRINCIPAL | 2285929 |
| HANKS, KENNETH RAY | DIRECTOR | 1812450 |
| HODGES, STACY MALINDA | VICE PRESIDENT/CFO/TREASURER | 2544755 |
| KNOWLES, PHYLLIS JEAN | CCO | 1275616 |
| LELAND, DANIEL ROGER | CEO/CHAIRMAN OF THE BOARD/DIRECTOR | 1157737 |
| THOMAS, STANLEY MATTHEW | PRESIDENT | 2477694 |
| TUBB, ALLEN R | SECRETARY | — |
| WADE, JEROME STEPHEN | VP/GENERAL COUNSEL | 809998 |
Disclosures
Arbitration
1Similar Advisors
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 00 — General Securities Principal Examination
Passed Jul 1975Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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