David J. 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.
David Jonathan Wallace, who also goes by David J Wallace, Shag Wallace, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 12 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2008 - December 31, 2011
MSI FINANCIAL SERVICES, INC.
April 1, 2008 - April 2, 2008
MSI FINANCIAL SERVICES, INC.
April 30, 2007 - February 10, 2012
MSI FINANCIAL SERVICES, INC.
May 5, 2004 - April 27, 2007
ALLSTATE FINANCIAL SERVICES, LLC
February 27, 2001 - May 7, 2004
WALNUT STREET SECURITIES, INC.
February 25, 2000 - February 26, 2001
PRIM SECURITIES, INCORPORATED
May 1, 1997 - February 10, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 1995 - May 12, 1997
BB&T INVESTMENT SERVICES OF SOUTH CAROLINA, INC.
July 3, 1995 - July 24, 1995
BB&T INVESTMENT SERVICES, INC.
March 5, 1993 - July 3, 1995
SOUTHERN NATIONAL INVESTMENT SERVICES, INC.
May 17, 1990 - March 5, 1993
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 19, 1990 - May 25, 1990
CAPITAL BROKERAGE CORPORATION
August 4, 1988 - April 25, 1990
PAMCO SECURITIES AND INSURANCE SERVICES
August 21, 1986 - December 21, 1987
WOODBURY FINANCIAL SERVICES, INC.
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
MSI FINANCIAL SERVICES, INC.
CRD#: 14251 / SEC#: 801-22306, 8-30447
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BENSON, WENDY ANN | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2140720 |
| CHICARES, ELIZABETH WARD | DIRECTOR | 2194754 |
| FANNING, MICHAEL ROBERT | DIRECTOR | 1620072 |
| FRANCELLA, AMY | SECRETARY AND CHIEF LEGAL OFFICER | 1881552 |
| FREDERICK, CHRISTINE SPENCER | CHIEF COMPLIANCE OFFICER | 2641636 |
| HOLTZER, DAVID MICHAEL | PRESIDENT | 4345697 |
Disclosures
| Regulatory Event | 41 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
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.
