William 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.
William Craig Wallace was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2016 - November 17, 2022
WALLACE ADVISORY GROUP, LLC
November 2, 2015 - November 16, 2022
M HOLDINGS SECURITIES, INC.
September 3, 1999 - November 10, 2015
EAGLE STRATEGIES LLC
August 22, 1983 - November 6, 2015
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
WALLACE ADVISORY GROUP, LLC
CRD#: 281049 / SEC#: 801-106666
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
WALLACE ADVISORY GROUP, LLC
CRD#: 281049 / SEC#: 801-106666
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 420 |
| AUM (Assets Under Management) | $ 250,000,000 |
Red Flags
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