Debbie K. 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.
Debbie Kay Wallace, who also goes by Debbie Haley Wallace, Debbie K Wallace, was a registered financial professional .
Debbie is a previously registered financial professional and started their career in finance in 1991. Debbie had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2007 - January 4, 2016
FIRST WESTERN SECURITIES, INC.
November 25, 2003 - January 4, 2016
FIRST WESTERN SECURITIES, INC.
May 29, 2002 - July 9, 2003
A. G. EDWARDS & SONS, INC.
February 12, 2002 - July 9, 2003
A. G. EDWARDS & SONS, INC.
May 18, 2001 - September 27, 2001
A. G. EDWARDS & SONS, INC.
November 3, 1997 - March 21, 2001
CITIGROUP GLOBAL MARKETS INC.
September 29, 1997 - October 14, 1997
LIGHTSPEED PROFESSIONAL TRADING LLC
June 23, 1997 - October 14, 1997
BLOCK TRADING INC.
October 23, 1991 - May 13, 1997
UBS 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
Series 8
Date: 3/7/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST WESTERN SECURITIES, INC.
CRD#: 19537 / SEC#: 801-70430, 8-37613
Contact information
FINRA licenses (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 36 |
| AUM (Assets Under Management) | $ 41,715,412 |
Disclosures
| Regulatory Event | 5 |
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.
