Aaron J. Wallace
Professional summary
Aaron Jermaine Simeon Wallace is a registered financial professional currently at INTESA SANPAOLO IMI SECURITIES CORP. located in New York, New York.
Aaron is registered as a RR (Registered Representative) and started their career in finance in 1997. Aaron has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Aaron Jermaine Simeon Wallace's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 2, 2024 - Present
INTESA SANPAOLO IMI SECURITIES CORP.
Office #1: 1 William Street, New York, NY 10004October 20, 2011 - January 3, 2024
BBVA SECURITIES INC.
November 20, 2009 - August 11, 2011
MACQUARIE CAPITAL (USA) INC.
September 15, 2006 - September 30, 2009
DEUTSCHE BANK SECURITIES INC.
May 9, 2000 - September 28, 2001
GOLDMAN SACHS CUSTODY SOLUTIONS
September 22, 1997 - September 8, 1998
AMERIPRISE ADVISOR SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/2/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
New York Stock Exchange
Current Firm
INTESA SANPAOLO IMI SECURITIES CORP.
CRD#: 19418 / SEC#: , 8-37444
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IMI CAPITAL MARKETS USA CORPORATION | SOLE SHAREHOLDER | |
| AMOROSO, PAOLO GLAUCO | CORPORATE SECRETARY | 7870609 |
| BURIOLI, NOVELLA | DIRECTOR | 7874990 |
| DIBELLA, VINCENT | CHIEF FINANCIAL OFFICER/ TREASURER | 2587408 |
| LUCCHINI, STEFANO | DIRECTOR | 7889772 |
| MARRAS, STEFANO | CEO/DIRECTOR | 7322813 |
| PARISI, RICHARD ANTHONY | CHIEF OPERATIONS OFFICER | 4668388 |
| RUIZ, JEFFREY A | CHIEF COMPLIANCE OFFICER | 2562825 |
| SEGNI, LAURA | DIRECTOR | 7890924 |
Disclosures
| Regulatory Event | 11 |
| Criminal | 1 |
| Civil Event | 1 |
Red Flags
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