Patrick W. 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.
Patrick William Wallace, who also goes by Patrick W Wallace, Patrick Wallace, Wally Wallace, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1998. Patrick had worked at 5 firms and has passed the Series 63, SIE 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
September 14, 2007 - December 31, 2015
GE CAPITAL MARKETS, INC.
August 9, 2005 - November 9, 2006
BNP PARIBAS SECURITIES CORP.
June 7, 1999 - April 4, 2002
DEUTSCHE BANK SECURITIES INC.
October 21, 1998 - June 7, 1999
DB ALEX. BROWN LLC
March 11, 1998 - June 5, 1998
CANTOR FITZGERALD SECURITIES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GE CAPITAL MARKETS, INC.
CRD#: 13349 / SEC#: , 8-29149
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
