Scott A. Wallis
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.
Scott Alan Wallis was a registered financial advisor .
Scott is a previously registered financial advisor and started their career in finance in 1989. Scott had worked at 3 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1999 - December 31, 2005
PRAXIS ADVISORY GROUP INC
January 1, 1999 - December 31, 2009
WALLIS, SCOTT A
June 23, 1989 - January 13, 1992
WADDELL & REED
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
PRAXIS ADVISORY GROUP INC
CRD#: 107384 / SEC#: 801-41204
Contact information
Regulatory assets under management
| Total Number of Accounts | 134 |
| AUM (Assets Under Management) | $ 43,932,656 |
Red Flags
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