Wallace R. Foutz
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 Raymond Foutz JR, who also goes by Wally Foutz Jr, was a registered financial professional .
Wallace is a previously registered financial professional and started their career in finance in 1992. Wallace had worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 6 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
September 11, 2017 - October 4, 2021
CROWN CAPITAL SECURITIES, L.P.
July 8, 2004 - September 14, 2017
INVESTACORP, INC.
October 8, 2003 - August 6, 2004
QUICK & REILLY, INC.
October 8, 2003 - August 6, 2004
QUICK & REILLY, INC.
January 29, 2002 - October 10, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 2002 - October 10, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 1, 1999 - January 11, 2002
PRUDENTIAL EQUITY GROUP, LLC
March 14, 1996 - February 1, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 23, 1995 - March 15, 1996
A. G. EDWARDS & SONS, INC.
September 9, 1993 - February 1, 1995
CUNA BROKERAGE SERVICES, INC.
March 10, 1992 - September 3, 1993
METROPOLITAN LIFE INSURANCE COMPANY
March 10, 1992 - September 3, 1993
MSI 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
