Michael R. 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.
Michael Ross Wallace, who also goes by Michael R Wallace Jr, Michael Ross Wallace Jr, Mike Wallace, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2015 - July 1, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 5, 2015 - July 1, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 2013 - April 1, 2013
OSAIC FA, INC.
January 2, 2013 - April 1, 2013
OSAIC FA, INC.
September 7, 2011 - April 17, 2012
WELLS FARGO CLEARING SERVICES, LLC
July 6, 2011 - April 17, 2012
WELLS FARGO CLEARING SERVICES, LLC
April 20, 2006 - August 15, 2007
E*TRADE SECURITIES LLC
August 26, 2005 - February 17, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 2005 - February 17, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 2005 - August 1, 2005
WELLS FARGO INVESTMENTS, LLC
July 16, 2004 - August 1, 2005
WELLS FARGO INVESTMENTS, LLC
October 23, 2003 - May 17, 2004
BANC ONE SECURITIES CORPORATION
December 16, 1997 - October 14, 2002
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
