David M. 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.
David Michael Wallace was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1981. David had worked at 5 firms and has passed the Series 63, 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
October 19, 1994 - December 31, 2016
THE O.N. EQUITY SALES COMPANY
July 21, 1994 - September 6, 1994
FORTH FINANCIAL SECURITIES, CORPORATION
December 16, 1993 - July 18, 1994
VESTAX SECURITIES CORPORATION
July 10, 1992 - December 16, 1993
JOHN HANCOCK DISTRIBUTORS LLC
November 2, 1981 - September 9, 1991
VERAVEST INVESTMENTS, INC.
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: 6/4/1974
Registered Representative ExaminationCurrent Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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