Wallace B. Hooks
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.
Wallace Brian Hooks, who also goes by Wallace Brian Hooks, was a registered financial professional .
Wallace is a previously registered financial professional and started their career in finance in 1967. Wallace had worked at 8 firms and has passed the Series 63, Series 3, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2000 - September 17, 2012
MOLONEY SECURITIES CO., INC.
September 24, 1991 - May 8, 2000
BIRCHTREE FINANCIAL SERVICES LLC
May 5, 1986 - October 10, 1991
RAUSCHER PIERCE REFSNES, INC.
July 10, 1985 - May 12, 1986
HOUCHIN, ADAMSON & CO., INC.
February 24, 1981 - July 22, 1985
ADAMS, JAMES, ABARR & COMPANY, INC.
September 30, 1977 - March 17, 1981
PRINCIPAL FINANCIAL SECURITIES,INC.
June 19, 1973 - September 4, 1977
SCHNEIDER, BERNET & HICKMAN, INC.
September 5, 1967 - May 6, 1972
STIFEL, NICOLAUS & COMPANY, 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
PC
Date: 9/1/1977
AMEX Put and Call ExamSeries 1
Date: 9/25/1964
Registered Representative ExaminationCurrent Firm
MOLONEY SECURITIES CO., INC.
CRD#: 38535 / SEC#: 801-64722, 8-48326
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIAR GREEN HOLDINGS, INC. | OWNER | |
| CORRIGAN, BRIAN PATRICK | INVESTOR/DIRECTOR | 4258969 |
| HANCOCK, DONALD RALPH | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHAIRMAN | 828811 |
| HOLOWATUK, WILLIAM JAMES | DIRECTOR OF COMPLIANCE | 6107023 |
| HUME, SCOTT ALLEN | INVESTOR/DIRECTOR | 2894512 |
| MEDLEY, JOSEPH RONALD JR | INVESTOR/DIRECTOR | 2619119 |
| MOLONEY, EDWARD JOHN JR | PRESIDENT, OFFICER/DIRECTOR | 3188341 |
| ROSEMAN, JEFFREY PATRICK | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL & VP | 6296481 |
| STEEL, GEORGE DONALD | INVESTOR/DIRECTOR | 716992 |
| WIESER, RYAN MATHEW | VICE PRESIDENT, DIRECTOR OF OPERATIONS, CHIEF OPERATING OFFICER/DIRECTOR | 4940639 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
