Our Staff has compiled our research into a database of FINRA Broker Disclosures for GW & Wade Asset Management Company, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Timothy Pinch | 1506654 | 1 | 08/13/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gerald Anthony Polcari | 1130799 | 1 | 01/23/2019 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Christopher John Kenny Dolan | 2717123 | 1 | 10/02/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Eric Herd Rosenberg | 2937604 | 1 | 12/27/2016 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |