Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Wilson Wade is a registered representative and investment advisor representative with RBC Capital Markets, LLC. Thomas has over 30 years of experience in the financial services industry. Prior to joining RBC Capital Markets, LLC, Thomas worked at Wells Fargo Clearing Services, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Thomas holds FINRA Series 3, 7, 9, 10, 31, and 63 licenses, and has successfully completed the SIE and Series 65 exams. Thomas specializes in providing financial planning, portfolio management, and investment advice to individuals, corporations, and institutions.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
TN
07/17/2018 - Present
RBC Capital Markets, LLC (Nashville TN)
TN
07/28/2008 - 07/20/2018
WELLS FARGO CLEARING SERVICES, LLC (NASHVILLE TN)
AZ
05/16/2003 - 07/30/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MESA AZ)
NY
01/13/2000 - 06/03/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
CA
04/06/1998 - 12/31/1999
TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)
NY
07/31/1993 - 05/27/1997
SMITH BARNEY INC. (NEW YORK NY)
NY
09/27/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 06/15/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/09/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/21/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/06/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 10/29/1991
Series 3 - National Commodity Futures Examination
BC
Issued 09/25/1991
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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