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LW

Lewis J. Wallace

COMMONFUND SECURITIES
Wilton, CT 06897
Some features on this profile are disabled
CRD#: 3227560
LW

Professional summary

Lewis Joseph Wallace JR, CFP® is a registered financial professional currently at COMMONFUND SECURITIES, INC. located in Wilton, Connecticut.

Lewis is registered as a RR (Registered Representative) and started their career in finance in 1999. Lewis has worked at 2 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Lewis Joseph Wallace JR's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Experience

Current

September 14, 2005 - Present

COMMONFUND SECURITIES, INC.

Office #1: 15 Old Danbury Road, Wilton, CT 06897
BD
CRD#: 43541
Wilton, CT
Past

October 16, 2001 - July 13, 2005

MONEY CONCEPTS CAPITAL CORP

RIA
CRD#: 12963
DANBURY, CT
Past

November 1, 1999 - July 13, 2005

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
PALM BEACH GARDENS, FL

State Registrations and Notice Filings

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

RR
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

RR
Connecticut
(5/21/2020)
RR
Florida
(7/23/2019)
RR
Kentucky
(9/20/2005)
RR
North Carolina
(8/20/2015)
RR
South Carolina
(5/24/2013)
RR
Tennessee
(9/20/2005)
RR
Virgin Islands
(7/23/2019)
RR
Virginia
(9/20/2005)
RR
West Virginia
(11/27/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/12/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 6/11/2012
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/12/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/21/1999
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
COMMONFUND SECURITIES, INC.
COMMONFUND SECURITIES, INC. | ENDOWMENT SERVICES, INC.

CRD#: 43541 / SEC#: , 8-50337

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
15 Old Danbury Road, Wilton, CT 06897
Mailing Address
15 Old Danbury Road, Wilton, CT 06897
Phone number
(203) 563-5000
Established
Delaware since 05/30/1997
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
COMMONFUND HOLDING COMPANY, INC.SHAREHOLDER
BARD, NANCY KIERNANMANAGING DIRECTOR; MEMBER, BOARD OF DIRECTORS1324063
CERASUOLO, VIOLETTACHIEF COMPLIANCE OFFICER5362546
DURRELL, SUSAN KERRMANAGING DIRECTOR; MEMBER, BOARD OF DIRECTORS2945336
HARITON, ANITA LYNNEPRESIDENT AND CHIEF EXECUTIVE OFFICER; CHAIR, BOARD OF DIRECTORS4104946
SPONGBERG, JONATHAN DTREASURER5521666

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.

Company Information

COMMONFUND SECURITIES, INC.

CRD#: 43541Wilton, CT 06897

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