Steven A. 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.
Steven Alexander Wallace, who also goes by Alex Wallace, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2002. Steven had worked at 4 firms and has passed the Series 63, SIE, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2020 - September 22, 2025
LOOP CAPITAL MARKETS LLC
October 8, 2009 - September 10, 2020
U.S. BANCORP INVESTMENTS, INC.
October 9, 2008 - July 28, 2009
LOOP CAPITAL MARKETS LLC
July 1, 2003 - July 1, 2008
WELLS FARGO SECURITIES, LLC
July 12, 2002 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
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.
