Thomas WadeCRD Number: 1076770
Current Firm: Park Avenue Securities LLC
Thomas Wade (CRD# 1076770) is an Investment Advisor Representative working at Park Avenue Securities LLC in Jamestown, NY and has over 19 years of experience in the finance industry.
Next Financial Group, Inc.
Northwest Advisors, Inc.
Park Avenue Securities LLC
|Park Avenue Securities LLC||Buffalo, NY||May 1999 - Current||17|
|Guardian Life Insurance Company||Buffalo, NY||Nov 1984 - Current||31|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1997|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Regulatory Event
Total Assets Under Management6,646MILLIONS
Total Number of Accounts39,311ACCOUNTS
Average Account Value$169,065
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV