Eric P. 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.
Eric Peter Wallis, who also goes by Eric Peter Walls, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1998. Eric had worked at 3 firms and has passed the Series 63, SIE 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
April 28, 2016 - July 25, 2018
W. H. MELL ASSOCIATES, INC.
April 2, 1999 - August 25, 2014
W. H. MELL ASSOCIATES, INC.
December 18, 1998 - March 5, 1999
CITIGROUP GLOBAL MARKETS INC.
September 21, 1998 - December 18, 1998
CITICORP 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
W. H. MELL ASSOCIATES, INC.
CRD#: 23635 / SEC#: , 8-40608
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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.
