Wallace J. Safarik
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 John Safarik, CFP® was a registered financial professional .
Wallace is a previously registered financial professional and started their career in finance in 1987. Wallace had worked at 4 firms and has passed the Series 63, Series 62 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
Start date: 2002
Experience
March 3, 2020 - July 17, 2020
VIRTUE CAPITAL MANAGEMENT, LLC
October 6, 2003 - July 19, 2005
NEXT FINANCIAL GROUP, INC.
April 25, 1997 - October 7, 2003
ADVANTAGE CAPITAL CORPORATION
July 14, 1988 - December 31, 1995
ADVANTAGE CAPITAL CORPORATION
October 13, 1987 - December 22, 1987
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
VIRTUE CAPITAL MANAGEMENT, LLC
CRD#: 167816 / SEC#: 801-79938
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 62
Date: 8/24/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
VIRTUE CAPITAL MANAGEMENT, LLC
CRD#: 167816 / SEC#: 801-79938
Contact information
SEC notice filing (43 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,111 |
| AUM (Assets Under Management) | $ 787,466,707 |
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.
