WADE T CARDON is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 10505 N 69TH ST, STE 500, SCOTTSDALE, AZ, 85253.
WADE T CARDON has worked at AMERIPRISE FINANCIAL SERVICES, INC. since November 29, 1991
Disclosure History
WADE T CARDON has 3 Disclosure Event(s).
Date: June 02, 2017 Category: Customer Dispute Allegations: Client alleged the ongoing funding requirements of his variable universal life purchased in 2005 were misrepresented. Damage Amount Requested: $5,000.00
Date: April 20, 2002 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THE ADVISOR DID NOT MEET A BASIC LEVEL OF COMPETENCE IN MANAGING AND MONITORING HER ACCOUNTS. Damage Amount Requested: $80,000.00 Broker Comment: OUR REVIEW OFUND THE ADVISOR APPROPRIATELY MANAGED THE ACCOUNTS, GIVEN THE MARKET CONDITIONS AT THAT TIME. IN ADDITION, THE ADVISOR WAS RESPONSIVE TO THE CLIENT EACH TIME SHE RAISED CONCERNS.
Date: June 28, 1991 Category: Employment Separation After Allegations Firm Name: PRUDENTIAL INSURANCE COMPANY OF AMERICA Termination Type: Permitted to Resign Allegations: Not ProvidedFINANCIAL IRREGULARITIES COMMINGLING OFPOLICYHOLDER FUNDS IN MY PERSONAL CHECKING ACCOUNT. Broker Comment: TERMINATION OF AGENT AGREEMENT EFFECTIVE JUNE28, 1991.Not Provided
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