Michael Edward Wallace
Professional Summary
Michael Edward Wallace, who also goes by Michael E Wallace, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1993 - 2002. Michael had worked at 9 firms and has passed the Series 63, Series 7, Series 53, Series 4, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael E Wallace
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
PREFERRED CAPITAL MARKETS, INC. | PREFERREDTRADE, INC. | PREFERRED TECHNOLOGY, INC.
Contact Information
Established
California since 04/12/1982Firm Type
CorporationFiscal Year End
SeptemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOUGLAS J. ENGMANN & BARBARA J. ENGMANN 1999 REVOCABLE TRUST | SHAREHOLDER | — |
| ENGMANN, MICHAEL WAYNE | CO-CEO | 201435 |
| STIPANICH, NEIL CHARLES | SHAREHOLDER/OWNER | 1913739 |
| BOLD, CHARLES MARK | PRESIDENT/CHIEF OPERATING OFFICER/GENERAL PRINCIPAL | 1023910 |
| ENGMANN, BARBARA JO | TRUSTEE | 4833871 |
| ENGMANN, DOUGLAS JOE | CHAIRMAN/CO-CEO/TRUSTEE | 1132831 |
| HAGNER, CHARLES PHILIP III | EXECUTIVE VP/CHIEF COMPLIANCE OFFICER | 2060754 |
| HANDIN, PHILLIP EUGENE | ASSISTANT SECRETARY | 3065397 |
| MCNULTY, STEPHEN HART | VP/RETAIL SERVICES-GOVERNMENT PRINCIPAL/MSRB PRINCIPAL | 1959617 |
| PATTERSON, DOUGLAS BRIAN | SENIOR VICE PRESIDENT/SROP | 2566967 |
| TAGLE, MICHAEL D | SENIOR VICE PRESIDENT/CHIEF FINANCIAL OFFICER | 3195159 |
| THURM, KARIN CHRISTINE | VICE PRESIDENT/OPERATIONS | 2849259 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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