James C. Wallace
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James C Wallace, who also goes by James Clarence Wallace Jr, James Clarence Wallace Jr., James Clarence Wallace, Jim Clarence Wallace, Jim Wallace, Skip Wallace, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 21 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2015 - August 28, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 17, 2012 - May 13, 2013
ONEAMERICA SECURITIES, INC.
January 20, 2010 - November 11, 2010
WADDELL & REED
January 15, 2010 - November 11, 2010
WADDELL & REED
June 21, 2007 - January 4, 2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC
April 11, 2006 - June 13, 2007
FIRST BROKERAGE AMERICA, L.L.C.
January 4, 2005 - April 12, 2006
GUARANTY BROKERAGE SERVICES, INC.
August 18, 2004 - September 28, 2004
STATE FARM VP MANAGEMENT CORP.
January 23, 2003 - May 10, 2004
LPL FINANCIAL LLC
January 23, 2003 - May 10, 2004
LPL FINANCIAL LLC
December 5, 2002 - December 16, 2002
CETERA INVESTMENT SERVICES LLC
December 5, 2002 - December 16, 2002
CETERA INVESTMENT SERVICES LLC
February 5, 2002 - August 23, 2002
OSAIC FA, INC.
February 5, 2002 - August 23, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 5, 2002 - August 23, 2002
OSAIC FA, INC.
November 6, 2001 - November 15, 2001
GRAND FINANCIAL, INC.
March 14, 2001 - October 23, 2001
FIDELITY BROKERAGE SERVICES LLC
April 17, 1996 - March 6, 2001
MOMENTUM INDEPENDENT NETWORK INC.
October 12, 1992 - April 18, 1996
A. G. EDWARDS & SONS, INC.
January 8, 1992 - October 20, 1992
DALLAS RESEARCH & TRADING, INC.
November 27, 1991 - January 16, 1992
PROSPERA FINANCIAL SERVICES, INC.
October 12, 1990 - December 3, 1991
LASALLE ST SECURITIES, L.L.C.
April 7, 1988 - September 9, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
December 30, 1983 - April 19, 1988
J.P. MORGAN SECURITIES LLC
March 8, 1982 - December 30, 1983
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
