Douglas Jr M. 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.
Douglas Jr Mason Wallace, who also goes by Douglas M Jr Wallace, Douglas Mason Wallace Jr, was a registered financial professional .
Douglas Jr is a previously registered financial professional and started their career in finance in 1985. Douglas Jr had worked at 10 firms and has passed the Series 66, Series 63 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
February 25, 2015 - September 13, 2017
ENVESTNET PMC
May 24, 2012 - December 31, 2014
PLACEMARK INVESTMENTS, INC.
October 5, 2009 - December 6, 2011
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
July 9, 2008 - June 19, 2009
LPL FINANCIAL LLC
March 28, 2006 - May 5, 2008
DWS DISTRIBUTORS, INC.
July 30, 1993 - March 6, 2006
MFS FUND DISTRIBUTORS, INC.
March 23, 1993 - December 31, 1994
MFS FINANCIAL SERVICES, INC.
January 10, 1990 - February 9, 1993
INVEST FINANCIAL CORPORATION
September 30, 1987 - January 11, 1990
CAPITAL BROKERAGE CORPORATION
January 23, 1985 - June 30, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
ENVESTNET PMC
CRD#: 111694 / SEC#: 801-57260
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
ENVESTNET PMC
CRD#: 111694 / SEC#: 801-57260
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,021,610 |
| AUM (Assets Under Management) | $ 532,197,263,852 |
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.
