Jerome S. Wade
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.
Jerome Stephen Wade, who also goes by Jerome S Wade, Jerry Wade, was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1975. Jerome had worked at 9 firms and has passed the Series 63, SIE and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2003 - December 2, 2003
MYDISCOUNTBROKER.COM
March 12, 2003 - November 1, 2004
MAY FINANCIAL CORPORATION
June 29, 1999 - December 2, 2003
SOUTHWEST CLEARING CORP.
December 23, 1991 - May 5, 2016
MOMENTUM INDEPENDENT NETWORK INC.
December 23, 1991 - May 5, 2016
HILLTOP SECURITIES INC.
July 13, 1987 - December 6, 1991
A. G. EDWARDS & SONS, INC.
September 20, 1985 - August 20, 1987
SPECIALTY SECURITIES, INC.
April 16, 1984 - November 1, 1985
WESTPORT FINANCIAL GROUP, INC.
July 18, 1975 - May 4, 1984
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 00
Date: 7/12/1975
General Securities Principal ExaminationCurrent Firm
MYDISCOUNTBROKER.COM
CRD#: 42565 / SEC#: , 8-49882
Contact information
Documents
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 | 1 |
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.
