Eugena M. Wallis
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.
Eugena Madelaine Wallis, who also goes by Eugena Wallis Swartzman, Gena Swartzman, Gene W Swartzman, Eugena M Wallis, Gena Wallis, was a registered financial professional .
Eugena is a previously registered financial professional and started their career in finance in 1984. Eugena had worked at 6 firms and has passed the Series 65, 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
December 8, 2021 - January 2, 2025
BAYBRIDGE CAPITAL GROUP, LLC
September 8, 2009 - July 6, 2021
LPL FINANCIAL LLC
September 8, 2009 - July 6, 2021
LPL FINANCIAL LLC
December 3, 2008 - September 8, 2009
ASSOCIATED SECURITIES CORP.
December 2, 2008 - September 8, 2009
ASSOCIATED SECURITIES CORP.
November 29, 1999 - December 4, 2008
FSC SECURITIES CORPORATION
March 26, 1999 - December 4, 2008
FSC SECURITIES CORPORATION
May 8, 1991 - January 5, 1999
BA INVESTMENT SERVICES, INC.
February 24, 1984 - August 3, 1989
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
BAYBRIDGE CAPITAL GROUP, LLC
CRD#: 284867 / SEC#: 801-112598
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
BAYBRIDGE CAPITAL GROUP, LLC
CRD#: 284867 / SEC#: 801-112598
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 520 |
| AUM (Assets Under Management) | $ 162,194,993 |
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.
