Kenneth 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.
Kenneth Wade Wallace was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1997. Kenneth had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2014 - December 8, 2015
QUASAR DISTRIBUTORS, LLC
June 25, 2012 - January 2, 2020
SMITH GROUP ASSET MANAGEMENT
July 12, 2010 - September 8, 2012
TPEG SECURITIES, LLC
May 11, 2010 - January 3, 2014
WALLACE INVESTMENT MANAGEMENT AND RESEARCH LLC
September 14, 2009 - March 10, 2010
GUIDESTONE FINANCIAL SERVICES
May 1, 2006 - September 11, 2009
FORESIDE FUNDS DISTRIBUTORS LLC
June 23, 2000 - November 22, 2000
BANC ONE SECURITIES CORPORATION
September 27, 1999 - June 9, 2000
PACIFIC SELECT DISTRIBUTORS, LLC
March 17, 1999 - August 27, 1999
COREBRIDGE CAPITAL SERVICES, INC.
November 5, 1997 - October 29, 1998
SUNAMERICA SECURITIES, 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
Exams
Current Firm
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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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