Jeffrey S. 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.
Jeffrey Scott Wallace was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1994. Jeffrey had worked at 2 firms and has passed the Series 56 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2013 - January 2, 2014
NICO SECURITIES, LLC
February 27, 1994 - March 30, 1995
SBC WARBURG, INC.
State Registrations and Notice Filings
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Exams
Series 56
Date: 4/11/2013
Proprietary Trader Qualification ExaminationCurrent Firm
NICO SECURITIES, LLC
CRD#: 133476 / SEC#: , 8-66727
Contact information
Documents
Red Flags
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