Benjamin B. Wallace

GRIMES & COMPANY

WESTBOROUGH, MA 01581

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CRD#: 4044696

Professional summary

Benjamin Browning Wallace, who also goes by Ben Wallace, is a registered financial advisor currently at GRIMES & COMPANY located in Westborough, Massachusetts.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Benjamin has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben 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.

MYSTIC RIVER RUGBY CLUB~NON INVESTMENT RELATED~PO BOX 39, MALDEN, MA 02148~RUGBY CLUB~TREASURER~AUGUST 2013~5HRS PER MONTH~0HRS PER MONTH DURING MARKET~RESPONSIBLE FOR THE CLUB'S BANK ACCOUNT, SET AND MANAGE THE BUDGET

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Browning Wallace'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

February 24, 2003 - Present

GRIMES & COMPANY

Office #1: One Technology Drive Suite 100, Westborough, MA 01581

RIA

CRD#: 109420

WESTBOROUGH, MA

Past

July 8, 2011 - September 14, 2015

NEWEDGE SECURITIES, LLC

CRD#: 10674

WESTBOROUGH, MA

Past

October 22, 2002 - September 18, 2009

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

WESTBOROUGH, MA

Past

April 20, 2000 - February 16, 2001

TRIAD ADVISORS LLC

CRD#: 25803

ATLANTA, GA

Past

October 28, 1999 - April 26, 2000

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

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".

GRIMES & COMPANY

GRIMES & CO INC | GRIMES & COMPANY, LLC | GRIMES & COMPANY, INC. | GRIMES & COMPANY WEALTH MANAGEMENT, LLC | GRIMES & COMPANY

CRD#: 109420 / SEC#: 801-57193

RIA

Registered Investment Advisory firm - (1/28/2000 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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(2/24/2003)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/22/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/14/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/27/1999

General Securities Representative Examination

Current Firm

GRIMES & COMPANY

GRIMES & CO INC | GRIMES & COMPANY, LLC | GRIMES & COMPANY, INC. | GRIMES & COMPANY WEALTH MANAGEMENT, LLC | GRIMES & COMPANY

CRD#: 109420 / SEC#: 801-57193

RIA

Registered Investment Advisory firm - (1/28/2000 Approved)

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Contact information

Main Address

One Technology Drive Suite 100, Westborough, MA 01581

Mailing Address

Phone number

(508) 366-3883

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GRIMES & COMPANY WEALTH MANAGEMENT, LLC (11/3/2025)

Regulatory assets under management

Total Number of Accounts	9,415
AUM (Assets Under Management)	$ 5,592,556,041

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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Benjamin B. Wallace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Browning Wallace's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEWEDGE SECURITIES, LLC

SECURITIES SERVICE NETWORK, LLC

TRIAD ADVISORS LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

GRIMES & COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 12/22/1999

SIE

Date: 9/14/2015

Series 7

Date: 10/27/1999

Current Firm

GRIMES & COMPANY

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRIMES & COMPANY

TRUST BUT VERIFY

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