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Shannon Louise Wade
CRD#: 6038526
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 1670 BROADWAY
SUITE 2200, DENVER HUB
DENVER, CO 80202-5602
SUITE 2200, DENVER HUB
DENVER, CO 80202-5602
0
Disclosures
12
Years of Experience
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State Registrations
B
Colorado 5/31/2018
B
Maine 5/31/2018
IA
Colorado 7/27/2018
SRO Registrations
B
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IA
Registered with this firm since 7/27/2018
B
Registered with this firm since 5/31/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/11/2014 - 03/09/2018 | WESTMINSTER, CO | |
IA | 05/16/2012 - 11/20/2014 | LAS VEGAS, NV | |
B | 04/20/2012 - 11/20/2014 | LAS VEGAS, NV |
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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.