Lorraine 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.
Lorraine Wallace was a registered financial professional .
Lorraine is a previously registered financial professional and started their career in finance in 2000. Lorraine had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2014 - January 17, 2020
ALIGHT FINANCIAL SOLUTIONS, LLC
July 20, 2012 - May 7, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 2, 2012 - July 2, 2012
WELLS FARGO CLEARING SERVICES, LLC
May 15, 2003 - July 2, 2012
WELLS FARGO CLEARING SERVICES, LLC
April 14, 2000 - March 19, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALIGHT FINANCIAL SOLUTIONS, LLC
CRD#: 36509 / SEC#: , 8-47344
Contact information
FINRA licenses (52 States and Territories)
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.
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