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MW

Michael E. Wallace Iii

ALDWYCH SECURITIES LLC
STAMFORD, CT 06902
Some features on this profile are disabled
CRD#: 1365873
MW

Professional summary

Michael Edward Wallace Iii, who also goes by Michael Edward Wallace III, Michael Edward Wallace, Mike Wallace, is a registered financial professional currently at ALDWYCH SECURITIES LLC located in Stamford, Connecticut.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1985. Michael has worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 3, Series 5 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Edward Wallace Iii | Michael Edward Wallace | Mike Wallace

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Edward Wallace Iii's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 29, 2025 - Present

ALDWYCH SECURITIES LLC

Office #1: 208 Harbor Drive Suite 204, Stamford, CT 06902
BD
CRD#: 167980
STAMFORD, CT
Past

June 30, 2023 - October 29, 2025

GREENWICH CAPITAL PARTNERS, LLC

BD
CRD#: 305693
GREENWICH, CT
Past

August 23, 2021 - June 27, 2023

REVA CAPITAL MARKETS LLC

BD
CRD#: 105791
NEW YORK, NY
Past

August 9, 2019 - October 21, 2020

OLD CITY SECURITIES LLC

BD
CRD#: 171910
NEW YORK, NY
Past

April 21, 2016 - February 20, 2019

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
NEW YORK, NY
Past

May 13, 2015 - March 15, 2016

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
WASHINGTON, DC
Past

April 15, 2013 - February 5, 2015

PTP SECURITIES, LLC

BD
CRD#: 136832
ROWAYTON, CT
Past

April 3, 2009 - April 3, 2013

DU PASQUIER & CO., INC.

BD
CRD#: 24750
NEW YORK, NY
Past

December 1, 2006 - February 3, 2009

KNIGHT CAPITAL MARKETS LLC

BD
CRD#: 38379
PURCHASE, NY
Past

March 23, 2004 - December 3, 2007

SOUND SECURITIES, LLC

BD
CRD#: 122677
ROWAYTON, CT
Past

November 27, 2001 - March 10, 2004

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY
Past

July 18, 1989 - November 6, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 22, 1985 - April 27, 1989

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(10/29/2025)
RR
New York
(10/29/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/14/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/8/1986
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 5
Date: 7/19/1985
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 5/18/1985
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ALDWYCH SECURITIES LLC
ALDWYCH SECURITIES LLC

CRD#: 167980 / SEC#: , 8-69286

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
208 Harbor Drive Suite 204, Stamford, CT 06902
Mailing Address
208 Harbor Drive Suite 204, Stamford, CT 06902
Phone number
(212) 319-2501
Established
New York since 01/17/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ACP CAPITAL MARKETS LLCSOLE OWNER
BISHOP, MARK JOHNMANAGING MEMBER, CCO, CFO2868804
MILLER, JOHN STEVENSONFINOP2139980

Disclosures

Regulatory Event4

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.

Company Information

ALDWYCH SECURITIES LLC

CRD#: 167980Stamford, CT 06902

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