Robert G. 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.
Robert George Wade, who also goes by Robert George Waterhouse, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1976. Robert had worked at 11 firms and has passed the Series 65, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2010 - July 17, 2018
THE O.N. EQUITY SALES COMPANY
May 18, 2007 - April 23, 2010
WOODBURY FINANCIAL SERVICES, INC.
March 31, 2005 - April 23, 2010
WOODBURY FINANCIAL SERVICES, INC.
January 13, 2005 - October 17, 2006
HIMCO DISTRIBUTION SERVICES COMPANY
January 25, 2002 - December 31, 2004
CARILLON INVESTMENTS, INC.
January 2, 2002 - December 31, 2004
CARILLON INVESTMENTS, INC.
June 9, 2000 - January 8, 2002
METROPOLITAN LIFE INSURANCE COMPANY
June 9, 2000 - January 8, 2002
MSI FINANCIAL SERVICES, INC.
April 15, 1999 - June 15, 2000
SIGNATOR INVESTORS, INC.
October 3, 1980 - April 8, 1999
EQUITY SERVICES, INC.
April 16, 1980 - October 25, 1980
NEW ENGLAND SECURITIES
January 2, 1976 - March 17, 1978
PAUL REVERE EQUITY SALES COMPANY (THE)
January 2, 1976 - March 28, 1980
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
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 1
Date: 12/31/1975
Registered Representative ExaminationCurrent Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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