William R. 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.
William Robert Wallace was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1987. William had worked at 4 firms and has passed the Series 65, 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
December 8, 2011 - December 31, 2014
MANDARIN PACIFIC ASSET MANAGEMENT, LLC
March 18, 2009 - December 31, 2009
PORTSMOUTH FINANCIAL SERVICES
December 8, 2005 - December 31, 2006
1ST DISCOUNT BROKERAGE, INC.
August 21, 2002 - December 31, 2003
1ST DISCOUNT BROKERAGE, INC.
July 31, 2002 - August 21, 2002
ACUMENT SECURITIES, INC.
December 1, 1995 - August 3, 2000
ACUMENT SECURITIES, INC.
February 24, 1987 - November 28, 1995
PORTSMOUTH FINANCIAL SERVICES
State Registrations and Notice Filings
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Exams
Current Firm
MANDARIN PACIFIC ASSET MANAGEMENT, LLC
CRD#: 145768 / SEC#:
Contact information
Red Flags
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