Wallace G. Conley
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 Glen Conley was a registered financial professional .
Wallace is a previously registered financial professional and started their career in finance in 1988. Wallace had worked at 4 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2003 - December 16, 2003
SPENCER EDWARDS, INC.
January 24, 1994 - November 23, 1999
FAIRCHILD FINANCIAL GROUP, INC.
July 1, 1988 - August 3, 1990
ROYCE PARK INVESTMENTS, INC.
January 6, 1988 - September 6, 1989
WHITNEY HARRIS SECURITIES, 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
SPENCER EDWARDS, INC.
CRD#: 22067 / SEC#: , 8-39511
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 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.
