Gene E. Sinclair
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.
Gene Edward Sinclair was a registered financial professional .
Gene is a previously registered financial professional and started their career in finance in 1975. Gene had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, PC, Series 7, Series 4, Series 24, Series 8 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2013 - March 21, 2024
GW & WADE, LLC
November 7, 2007 - December 5, 2023
GW & WADE ASSET MANAGEMENT COMPANY, LLC
June 6, 2006 - August 2, 2007
A. G. EDWARDS & SONS, INC.
June 1, 2006 - August 2, 2007
A. G. EDWARDS & SONS, INC.
March 24, 2004 - June 5, 2006
PERSIMMON SECURITIES, INC.
September 20, 2000 - February 13, 2003
WESTERN INTERNATIONAL SECURITIES, INC.
April 14, 2000 - February 13, 2003
WESTERN INTERNATIONAL SECURITIES, INC.
November 9, 1995 - April 25, 2000
D.E. FREY & COMPANY, INC.
February 8, 1991 - November 3, 1995
WELLS FARGO CLEARING SERVICES, LLC
January 18, 1988 - April 26, 1991
SUTRO & CO. INCORPORATED
November 20, 1975 - February 12, 1988
E. F. HUTTON & COMPANY 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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 8
Date: 7/25/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 5/21/1980
NYSE Branch Manager ExaminationCurrent Firm
GW & WADE, LLC
CRD#: 105394 / SEC#: 801-27292
Contact information
Regulatory assets under management
| Total Number of Accounts | 11,861 |
| AUM (Assets Under Management) | $ 8,902,726,024 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/09/2023 | ||
| 01/25/2023 |
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.
