Angus D. 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.
Angus Duff Wallace was a registered financial professional .
Angus is a previously registered financial professional and started their career in finance in 1971. Angus had worked at 8 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2007 - December 31, 2017
IC ADVISORY SERVICES, INC.
July 16, 2007 - December 31, 2017
THE INVESTMENT CENTER, INC.
January 2, 2001 - April 3, 2007
MULTI-FINANCIAL SERVICES COMPANY
March 23, 1983 - July 16, 2007
WHARTON EQUITY CORPORATION
March 12, 1973 - January 18, 1984
ILG SECURITIES CORPORATION
March 13, 1972 - November 7, 1983
JOHN HANCOCK DISTRIBUTORS LLC
November 23, 1971 - April 7, 1972
OSAIC FA, INC.
November 23, 1971 - February 1, 1973
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 11/15/1971
Registered Representative ExaminationCurrent Firm
IC ADVISORY SERVICES, INC.
CRD#: 140190 / SEC#: 801-66512
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,528 |
| AUM (Assets Under Management) | $ 2,056,415,877 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 02/15/2024 | ||
| 01/10/2023 |
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.
