Michael E. Wallace
Professional summary
Michael Edward Wallace was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael Edward Wallace, who also goes by Michael E Wallace, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 9 firms and has passed the Series 63, Series 7, Series 53, Series 4, Series 27 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 19, 2000 - January 17, 2002
PREFERREDTRADE, INC.
June 22, 2000 - August 15, 2000
MAY, DAVIS GROUP INC.
June 30, 1998 - October 6, 2000
MONTROSE CAPITAL MANAGEMENT LTD.
May 16, 1998 - June 1, 1998
ANGEL INVESTMENTS LLC
March 24, 1997 - March 26, 1998
FIRST LIBERTY INVESTMENT GROUP, INC.
June 14, 1995 - March 26, 1997
FIRST METROPOLITAN SECURITIES, INC.
May 2, 1994 - April 4, 1995
WALL STREET ACCESS
June 11, 1993 - June 15, 1993
PFS INVESTMENTS INC.
June 11, 1993 - May 20, 1994
JAMES W. BULLARD, JR., INCORPORATED
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
PREFERREDTRADE, INC.
CRD#: 10993 / SEC#: , 8-27945
Contact information
Documents
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 | 12 |
Red Flags
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