Stuart S. Wallace

USI ADVISORS

Dallas, TX 75254

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CRD#: 3138253

Professional summary

Stuart Sellars Wallace, who also goes by Stuart Sellars Wallace III, Trey Wallace, is a registered financial advisor currently at USI ADVISORS located in Dallas, Texas and USI SECURITIES, INC. located in Dallas, Texas.

Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Stuart has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stuart Sellars Wallace Iii | Trey Wallace

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stuart Sellars Wallace's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 25, 2019 - Present

USI ADVISORS

Office #1: 14241 Dallas Parkway Suite 1200, Dallas, TX 75254

RIA

CRD#: 108113

Dallas, TX

Current

January 25, 2019 - Present

USI SECURITIES, INC.

Office #1: 14241 Dallas Pkwy Ste 700, Dallas, TX 75254

RIA

CRD#: 43793

Dallas, TX

Past

April 16, 2018 - December 20, 2018

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

DALLAS, TX

Past

November 2, 2016 - December 20, 2018

SECURITIES AMERICA, INC.

CRD#: 10205

DALLAS, TX

Past

January 8, 2014 - October 6, 2016

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

May 2, 2012 - November 26, 2013

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

DALLAS, TX

Past

May 17, 2011 - April 10, 2012

PROVASI CAPITAL PARTNERS LP

CRD#: 119539

ADDISON, TX

Past

January 18, 2011 - June 1, 2011

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

ALLEN, TX

Past

May 15, 2009 - November 30, 2010

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

ALLEN, TX

Past

February 6, 2008 - January 6, 2009

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

May 5, 2006 - February 7, 2008

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

July 20, 2005 - April 27, 2006

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

December 3, 2003 - July 27, 2005

DIRECTED SERVICES LLC

CRD#: 21675

WEST CHESTER, PA

Past

September 19, 2002 - December 9, 2003

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

April 25, 2002 - November 25, 2003

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

January 19, 2001 - May 1, 2002

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

February 18, 1999 - July 13, 2000

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

USI ADVISORS

USI ADVISORS | USICG ADVISORS INC. | USICG ADVISORS INC | USI ADVISORS, INC.

CRD#: 108113 / SEC#: 801-56622

RIA

Registered Investment Advisory firm - (6/18/1999 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(1/25/2019)

IAR

Texas
(1/25/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/9/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/22/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/25/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/22/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

USI ADVISORS

USI ADVISORS | USICG ADVISORS INC. | USICG ADVISORS INC | USI ADVISORS, INC.

CRD#: 108113 / SEC#: 801-56622

RIA

Registered Investment Advisory firm - (6/18/1999 Approved)

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Contact information

Main Address

95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033

Mailing Address

Phone number

(860) 633-5283

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (49 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

USIA ADV 2A - JULY 2025 (7/3/2025)

Regulatory assets under management

Total Number of Accounts	1,346
AUM (Assets Under Management)	$ 48,864,913,348

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.

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Advisor Monitoring

Firm Stability Insights

Stuart S. Wallace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stuart Sellars Wallace's CRS (Customer Relationship Summary).

Certified licenses

Experience

USI SECURITIES, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

CUNA BROKERAGE SERVICES, INC.

PURSHE KAPLAN STERLING INVESTMENTS

PROVASI CAPITAL PARTNERS LP

CAMBRIDGE INVESTMENT RESEARCH, INC.

WOODBURY FINANCIAL SERVICES, INC.

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

DIRECTED SERVICES LLC

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

AVANTAX INVESTMENT SERVICES, INC.

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

USI ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 4/9/2018

Series 63

Date: 12/22/1998

SIE

Date: 10/1/2018

Series 7

Date: 1/25/1999

Series 24

Date: 7/22/1999

FINRA

Current Firm

USI ADVISORS

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

USI ADVISORS

TRUST BUT VERIFY

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