Wallis W. Tsai

ABOVEBOARD WEALTH MANAGEMENT

New York, NY 10001

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CRD#: 4565425

Professional summary

Wallis Wilkinson Tsai, who also goes by Wallis W Wilkinson, is a registered financial advisor currently at ABOVEBOARD WEALTH MANAGEMENT, LLC located in New York, New York and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Wallis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Wallis has worked at 3 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Wallis W Wilkinson

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.) ABOVEBOARD FINANCIAL INC - 3/2/2015 - 316 W 84th, Apt 1AB, New York, NY 10024 - Founder & CEO, Create and/or supervise the creation of educational financial content, Not Invt Rel, Financial education business, 25 hrs/mo; 12 hrs/mo (during trading hours). 2.) ABOVEBOARD WEALTH MGMT - 6/18/2018 - 316 W 84th, Apt 1AB, New York, NY 10024 - Founder & CEO, Analyze investments and offer fee for service advice on insurance policies, Invt Rel, RA business, 5 hrs/mo; 3 hrs/mo (during trading hours). 3.) ABOVEBOARD INS SVCS LLC - 6/18/2018 - 316 W 84th, Apt 1AB, New York, NY 10024 - Founder/CEO/Licensed Agent, Analyze insurance policies/make recommendations, Not Invt Rel, Insurance business, 150 hrs/mo; 125 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wallis Wilkinson Tsai's 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

January 27, 2023 - Present

ABOVEBOARD WEALTH MANAGEMENT, LLC

Office #1: 246 Fifth Avenue Floor 5, New York, NY 10001

RIA

CRD#: 298303

New York, NY

Current

May 22, 2023 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

March 29, 2022 - December 31, 2022

ABOVEBOARD WEALTH MANAGEMENT, LLC

RIA

CRD#: 298303

NEW YORK, NY

Past

August 27, 2002 - April 25, 2013

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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.

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

California
(9/17/2024)

New Jersey
(9/23/2024)

IAR

New York
(1/27/2023)

New York
(5/24/2023)

Virginia
(9/6/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/23/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/31/2018

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6TO

Date: 5/22/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 12/11/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ABOVEBOARD WEALTH MANAGEMENT, LLC

ABOVEBOARD WEALTH MANAGEMENT, LLC | ABOVEBOARD WEALTH; ABOVEBOARD

CRD#: 298303 / SEC#:

New York

Registered Investment Advisory firm - (1/27/2023 Approved)

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Contact information

Main Address

246 Fifth Avenue Floor 5, New York, NY 10001

Mailing Address

Phone number

(917) 509-2537

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Wallis W. Tsai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wallis Wilkinson Tsai's CRS (Customer Relationship Summary).

Certified licenses

Experience

ABOVEBOARD WEALTH MANAGEMENT, LLC

THE LEADERS GROUP, INC.

ABOVEBOARD WEALTH MANAGEMENT, LLC

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/23/2023

Series 65

Date: 7/31/2018

Series 6TO

Date: 5/22/2023

SIE

Date: 12/11/2019

Series 7

Date: 8/26/2002

FINRA

Current Firm

ABOVEBOARD WEALTH MANAGEMENT, LLC

Contact information

Documents

Red Flags

Company Information

ABOVEBOARD WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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