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ADAM WADE DEAL
CRD#: 5458350
IA
B
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 2 Bethesda Metro Center, Suite 800
Bethesda, MD 20814
Bethesda, MD 20814
0
Disclosures
16
Years of Experience
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State Registrations
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Alabama 3/9/2023
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New Hampshire 1/11/2022
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Arizona 1/11/2022
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New Jersey 1/11/2022
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California 1/11/2022
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New York 1/11/2022
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Colorado 1/11/2022
B
North Carolina 1/11/2022
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Connecticut 1/11/2022
B
Ohio 1/11/2022
B
Delaware 1/11/2022
B
Oregon 3/13/2023
B
District of Columbia 1/11/2022
B
Pennsylvania 1/11/2022
B
Florida 1/11/2022
B
South Carolina 1/11/2022
B
Georgia 1/11/2022
B
South Dakota 7/15/2022
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Illinois 1/11/2022
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Texas 1/11/2022
B
Indiana 1/11/2022
IA
Texas 1/11/2022
B
Louisiana 1/11/2022
B
Utah 1/11/2022
B
Maryland 1/11/2022
B
Vermont 11/21/2023
IA
Maryland 1/11/2022
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Virginia 1/11/2022
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Massachusetts 1/11/2022
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Washington 1/11/2022
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Michigan 4/1/2022
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West Virginia 1/11/2022
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Minnesota 1/11/2022
B
Wisconsin 4/1/2022
B
Mississippi 1/11/2022
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Wyoming 1/11/2022
B
Nevada 1/11/2022
SRO Registrations
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IA
Registered with this firm since 1/11/2022
B
Registered with this firm since 1/11/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/17/2021 - 11/15/2021 | WASHINGTON, DC | |
B | 02/17/2021 - 11/15/2021 | WASHINGTON, DC | |
IA | 01/02/2018 - 02/17/2021 | RICHMOND, VA | |
B | 01/02/2018 - 02/17/2021 | RICHMOND, VA | |
IA | 01/18/2011 - 01/02/2018 | WASHINGTON, DC | |
B | 02/28/2011 - 01/02/2018 | WASHINGTON, DC | |
IA | 11/28/2007 - 11/10/2010 | RALEIGH, NC |
RALEIGH, NC
11/28/2007 - 11/10/2010
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.