Clifton N. 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.
Clifton Neal Wallace JR, who also goes by Cliff Wallace, was a registered financial professional .
Clifton is a previously registered financial professional and started their career in finance in 1997. Clifton had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2021 - June 29, 2022
TIMESCALE FINANCIAL, INC.
October 13, 2009 - June 10, 2019
ADP BROKER-DEALER, INC.
September 11, 1997 - November 9, 2001
DEAM INVESTOR SERVICES, INC.
May 8, 1997 - September 17, 1997
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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
TIMESCALE FINANCIAL, INC.
CRD#: 186511 / SEC#: 801-87168
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,447 |
| AUM (Assets Under Management) | $ 717,284,707 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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