Jonathan 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.
Jonathan Robert Wallace, who also goes by Jonathan R Wallace, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1989. Jonathan had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2021 - December 31, 2022
ASHTON STEWART & CO., INC.
March 21, 2000 - October 6, 2021
OUTCOME CAPITAL, LLC
May 6, 1998 - February 18, 1999
LAFAYETTE INVESTMENTS, INC.
October 25, 1989 - February 11, 1998
SCOTT & STRINGFELLOW, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 2/22/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ASHTON STEWART & CO., INC.
CRD#: 112386 / SEC#: , 8-53239
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASHTON STEWART INTERNATIONAL HOLDINGS, LLC | SHAREHOLDER | |
| BURMAN, ANATOLY | CEO/CCO | 1652002 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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