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Ken Wade Suspended by FINRA for Alleged Failure to Provide Information

Ken Wade (CRD #: 5331252), a broker formerly registered with Cetera Advisor Networks, has been suspended by FINRA, according to his BrokerCheck record, accessed on March 7, 2023. Keep reading if you have questions about his alleged conduct as a broker.

FINRA Suspension

On December 21, 2022, FINRA issued a Letter of Suspension alleging that Ken Wade failed to respond to requests for information. His suspension took effect on January 17, 2023, and will continue until FINRA receives the requested information or the suspension converts to a bar.

FINRA Rule 9552

FINRA Rule 9552 states that members who fail to provide documents, information, or testimony requested by FINRA will be suspended. Members who fail to request an end to their suspension within three months become permanently barred.

Background Information

Ken Wade has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 99TO – Operations Professional Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination

He previously worked for the following firms:

  • Cetera Advisor Networks (CRD#:13572)
  • Cetera Advisors (CRD#:10299)
  • Cetera Financial Specialists (CRD#:10358)
  • Cetera Investment Services (CRD#:15340)
  • PFS Investments (CRD#:10111)
  • MicroVenture Marketplace (CRD#:152513)
  • D.H. Hill Securities (CRD#:41528)
  • Next Financial Group (CRD#:46214)

Kurta Law Can Help

If you worked with Ken Wade and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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