Buffy M. Wallace
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.
Buffy Melissa Wallace, who also goes by Melissa Wallace, was a registered financial professional .
Buffy is a previously registered financial professional and started their career in finance in 2002. Buffy had worked at 4 firms and has passed the Series 66, Series 63 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
January 15, 2014 - December 7, 2015
PERSONAL CAPITAL ADVISORS CORPORATION
October 4, 2012 - January 8, 2013
EMPOWER ADVISORY GROUP, LLC
April 30, 2010 - August 17, 2011
MORGAN STANLEY
April 1, 2010 - August 17, 2011
MORGAN STANLEY
March 4, 2002 - September 2, 2004
MOUNTAINVIEW SECURITIES, LLC
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
PERSONAL CAPITAL ADVISORS CORPORATION
CRD#: 155172 / SEC#: 801-72613
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 104,861 |
| AUM (Assets Under Management) | $ 23,087,723,467 |
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.
