Wallis W. Tsai
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Wallis Wilkinson Tsai's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 27, 2023 - Present
ABOVEBOARD WEALTH MANAGEMENT, LLC
Office #1: 246 Fifth Avenue Floor 5, New York, NY 10001May 22, 2023 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901March 29, 2022 - December 31, 2022
ABOVEBOARD WEALTH MANAGEMENT, LLC
August 27, 2002 - April 25, 2013
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/17/2024)
(9/23/2024)
(1/27/2023)
(5/24/2023)
(9/6/2024)
Exams
Series 6TO
Date: 5/22/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
ABOVEBOARD WEALTH MANAGEMENT, LLC
CRD#: 298303 / SEC#:
Contact information
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.
