William T. 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 Thomas Wallace was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2019 - April 4, 2022
TRADEWEB DIRECT LLC
May 2, 2016 - September 16, 2019
DEALERWEB LLC
November 7, 2014 - May 3, 2016
SENTINEL BROKERS COMPANY, INC.
June 1, 2012 - November 6, 2014
TULLETT PREBON FINANCIAL SERVICES LLC
April 1, 1993 - June 1, 2012
CHAPDELAINE TULLETT PREBON, LLC
July 17, 1992 - April 12, 1993
MINT BROKERS
July 20, 1989 - May 19, 1992
HARTFIELD, TITUS & DONNELLY, LLC
November 14, 1984 - July 12, 1989
CHAPDELAINE TULLETT PREBON, LLC
February 24, 1984 - October 26, 1984
PRUDENTIAL EQUITY GROUP, LLC
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
TRADEWEB DIRECT LLC
CRD#: 103787 / SEC#: , 8-52278
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BONDDESK GROUP LLC | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CAHALANE, JOHN JOSEPH | PRESIDENT | 2922033 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| FRIEDMAN, DOUGLAS L. | GENERAL COUNSEL | 5121291 |
| MCGUIRE, MICHAEL TERRENCE | CHIEF COMPLIANCE OFFICER | 2267871 |
| PITTINSKY, JONATHAN DAVID | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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