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WB

Wallace C. Burgoyne

SYMPHONY FINANCIAL, LTD. CO.
Houston, TX 77027
Some features on this profile are disabled
CRD#: 35630
WB

Professional summary

Wallace Carr Burgoyne is a registered financial advisor currently at SYMPHONY FINANCIAL, LTD. CO. located in Houston, Texas and LPL FINANCIAL LLC located in Houston, Texas.

Wallace is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1965. Wallace has worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 000, Series 1 and Series 30 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
(1) 12/9/2004 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - SYMPHONY FINANCIAL LTD. CO. - HOUSTON, TX. (2) 09/08/2014 - SYMPHONY FINANCIAL LTD.CO - REGISTERED INVESTMENT ADVISOR HYBRID - TIME SPENT 160 HOURS PER MONTH - HOUSTON, TX (3) 12/27/2021 - Burgoyne Capital Management - Not Investment Related - 507 Columbia St. Houston, TX 77007 - Business Entity For Tax/Investment Purposes Only - Start Date: 1/1/2021 - 0 Hours Per Month/0 Hours During Securities Trading - Director of family partnership that is dormant.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wallace Carr Burgoyne'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®
None

Experience

Current

July 15, 2014 - Present

SYMPHONY FINANCIAL, LTD. CO.

Office #1: 4295 San Felipe Suite 300, Houston, TX 77027
RIA
CRD#: 171816
Houston, TX
Current

December 6, 2004 - Present

LPL FINANCIAL LLC

Office #1: 4295 San Felipe Street Ste 300, Houston, TX 77027
RIA
BD
CRD#: 6413
Houston, TX
Past

December 6, 2004 - November 2, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
BOOTHBAY HARBOR, ME
Past

January 1, 1991 - December 17, 2004

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
HOUSTON, TX
Past

January 1, 1991 - December 17, 2004

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

March 23, 1989 - January 1, 1991

ROTAN MOSLE INC.

BD
CRD#: 727
Past

January 18, 1978 - June 3, 1979

LOEB PARTNERS

BD
CRD#: 7534
Past

January 4, 1977 - January 18, 1978

LOEB RHOADES & CO. INC.

BD
CRD#: 7502
Past

March 12, 1973 - January 4, 1977

LOEB, RHOADES & CO. INC.

BD
CRD#: 525
Past

January 5, 1971 - April 5, 1973

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BD
CRD#: 572
Past

December 14, 1965 - April 22, 1971

GOODBODY & CO. INCORPORATED

BD
CRD#: 362
Past

December 13, 1965 - April 26, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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".
SF
SYMPHONY FINANCIAL, LTD. CO.
ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT

CRD#: 171816 / SEC#: 801-79989

RIA
Registered Investment Advisory firm - (6/30/2014 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.
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
California
(6/17/2010)
RR
Connecticut
(12/6/2004)
RR
District of Columbia
(1/3/2005)
RR
Florida
(11/7/2007)
RR
Georgia
(5/24/2005)
RR
Maine
(1/10/2005)
RR
New York
(8/21/2007)
RR
North Carolina
(1/11/2005)
RR
Texas
(12/6/2004)
IAR
Texas
(7/15/2014)
RR
Virginia
(3/9/2005)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/8/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/7/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
PC
Date: 8/2/1989
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 000
Date: 12/13/1965
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 12/13/1965
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 7/12/2005
NFA Branch Manager Examination
SRO Registrations
RR
FINRA

Current Firm

SF
SYMPHONY FINANCIAL, LTD. CO.
ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT

CRD#: 171816 / SEC#: 801-79989

RIA
Registered Investment Advisory firm - (6/30/2014 Approved)
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Contact information

Main Address
4295 San Felipe Suite 300, Houston, TX 77027
Mailing Address
Phone number
(281) 272-6800
Established
Firm type
Fiscal year end
# of Employees
36

SEC notice filing (23 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/27/2025)
ADV PART 2 WRAP BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts3,324
AUM (Assets Under Management)$ 1,093,185,695

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

SYMPHONY FINANCIAL, LTD. CO.

CRD#: 171816Houston, TX 77027

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