Wallace T. Reid
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.
Wallace Traynham Reid JR was a registered financial professional .
Wallace is a previously registered financial professional and started their career in finance in 1987. Wallace had worked at 8 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
November 22, 2004 - May 10, 2005
BLUE MOON FINANCIAL, LLC
December 6, 2002 - November 16, 2004
ALLSTATE FINANCIAL SERVICES, LLC
November 27, 2000 - February 6, 2002
WFG INVESTMENTS, INC.
November 11, 1998 - November 10, 2000
BANC ONE SECURITIES CORPORATION
September 5, 1995 - December 9, 1998
WFG INVESTMENTS, INC.
February 7, 1994 - July 6, 1995
D.E. FREY & COMPANY, INC.
July 8, 1991 - January 19, 1994
PROSPERA FINANCIAL SERVICES, INC.
March 15, 1988 - July 26, 1991
RAUSCHER PIERCE REFSNES, INC.
April 29, 1987 - March 16, 1988
A. G. EDWARDS & SONS, 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
BLUE MOON FINANCIAL, LLC
CRD#: 123224 / SEC#: , 8-65576
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
