Steven R. 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.
Steven Robert Wallis was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1993. Steven had worked at 8 firms and has passed the 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
July 23, 2004 - December 31, 2004
SENTRY EQUITY SERVICES, INC.
December 1, 1999 - March 14, 2003
LIBERTY LIFE SECURITIES LLC
April 1, 1999 - December 1, 1999
IFMG SECURITIES, INC.
July 21, 1997 - October 14, 1997
MONY SECURITIES CORPORATION
September 22, 1995 - January 17, 1996
NTB FINANCIAL CORPORATION
March 25, 1994 - June 5, 1995
CITIGROUP GLOBAL MARKETS INC.
January 5, 1994 - March 18, 1994
SHAMUS GROUP, INC.
September 13, 1993 - January 1, 1994
SUPPES SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SENTRY EQUITY SERVICES, INC.
CRD#: 5069 / SEC#: , 8-15078
Contact information
FINRA licenses (49 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
