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JW

James J. Wallace

X-CHANGE FINANCIAL ACCESS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 1613042
JW

Professional summary

James Jay Wallace, who also goes by Jim Wallace, is a registered financial professional currently at X-CHANGE FINANCIAL ACCESS, LLC located in Chicago, Illinois.

James is registered as a RR (Registered Representative) and started their career in finance in 2011. James has worked at 3 firms and has passed the Series 57TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim 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 James Jay Wallace'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

March 5, 2018 - Present

X-CHANGE FINANCIAL ACCESS, LLC

Office #1: 222 W Adams Street Suite 450, Chicago, IL 60606
BD
CRD#: 126201
Chicago, IL
Past

September 3, 2013 - March 23, 2017

X-CHANGE FINANCIAL ACCESS, LLC

BD
CRD#: 126201
CHICAGO, IL
Past

June 7, 2013 - August 30, 2013

MEB OPTIONS, LLC

BD
CRD#: 113332
CHICAGO, IL
Past

May 17, 2013 - June 10, 2013

IMM EXECUTION SERVICES LLC

BD
CRD#: 159234
CHICAGO, IL
Past

June 28, 2011 - April 19, 2013

X-CHANGE FINANCIAL ACCESS, LLC

BD
CRD#: 126201
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC

Current Firm

XF
X-CHANGE FINANCIAL ACCESS, LLC
X-CHANGE FINANCIAL ACCESS, LLC

CRD#: 126201 / SEC#: , 8-65860

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

Main Address
222 W Adams Street Suite 450, Chicago, IL 60606
Mailing Address
222 W Adams Street Suite 450, Chicago, IL 60606
Phone number
(312) 235-0320
Established
Illinois since 04/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MAREX NORTH AMERICA HOLDINGS INCDIRECT PARENT
BATES, CHRISTOPHERCFO/FINOP5648556
GEYE, ANDREW JCEO-SECURITIES DIVISION6323003
KROPKE, PAUL STEVENCHIEF COMPLIANCE OFFICER2572796
MEOLA, ANGELOPRINCIPAL OPERATIONS OFFICER4218349

Disclosures

Regulatory Event32

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

X-CHANGE FINANCIAL ACCESS, LLC

CRD#: 126201Chicago, IL 60606

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