Scott J. 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.
Scott James Wallace, who also goes by Scott Wallace, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1999. Scott had worked at 3 firms and has passed the Series 63, 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
January 3, 2005 - February 10, 2011
CAPITAL ONE INVESTMENT SERVICES LLC
May 21, 2004 - January 3, 2005
GREENPOINT SECURITIES LLC
January 31, 1999 - November 26, 2002
ESSEX NATIONAL SECURITIES, LLC
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
CAPITAL ONE INVESTMENT SERVICES LLC
CRD#: 25658 / SEC#: , 8-41948
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
