Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Anthony Wade is a registered representative with Smbc Nikko Securities America, Inc. Roger has been in the securities industry since 1997. Roger has passed the Series 7, Series 99TO, and SIE exams and has been registered with FINRA since 2024. Prior to joining Smbc Nikko Securities America, Inc., Roger was with Barclays Capital Inc. and Credit Suisse First Boston Corporation.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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NY
02/21/2024 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
05/05/1999 - 06/01/2006
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
09/08/1997 - 03/19/1999
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
BC
Issued 02/21/2024
Series 99TO - Operations Professional Examination
BC
Issued 01/31/2024
SIE - Securities Industry Essentials Examination
BC
Issued 09/04/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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