Wallace M. Giakas
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.
Wallace Martin Giakas, who also goes by Wally Giakas, was a registered financial professional .
Wallace is a previously registered financial professional and started their career in finance in 1982. Wallace had worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2018 - May 29, 2019
SW FINANCIAL
May 4, 2010 - September 29, 2016
BUCKMAN, BUCKMAN & REID, INC.
July 12, 1995 - April 10, 1996
TOLUCA PACIFIC SECURITIES CORP.
April 24, 1995 - July 20, 1995
J.W. CABOTT & CO., INC.
March 7, 1994 - May 31, 1994
DAMON, ANDREWS & COMPANY LTD.
May 15, 1990 - August 9, 1991
PRINCETON FINANCIAL GROUP, INC.
April 21, 1989 - May 11, 1990
MLB INVESTMENTS, LTD.
August 25, 1988 - April 11, 1989
MONMOUTH INVESTMENTS, INC.
October 30, 1987 - August 20, 1988
J. T. MORAN & CO., INC.
October 5, 1987 - October 29, 1987
DOMESTIC ARBITRAGE GROUP, INC.
November 7, 1986 - November 4, 1987
ADVEST, INC.
February 28, 1986 - November 25, 1986
E. F. HUTTON & COMPANY INC
November 4, 1983 - March 19, 1986
PHILIPS, APPEL & WALDEN, INC.
August 16, 1983 - December 19, 1983
GREENTREE SECURITIES CORP.
September 27, 1982 - July 22, 1983
PATTEN SECURITIES CORP.
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
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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.
