Gene 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.
Gene Allan Wallace, who also goes by Allan Wallace, Gene A Wallace, Gene Alan Wallace, Gene Allen Wallace, was a registered financial professional .
Gene is a previously registered financial professional and started their career in finance in 1970. Gene had worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 24, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2016 - August 31, 2021
BA SECURITIES, LLC
July 13, 2011 - July 14, 2014
NEXBANK SECURITIES INC
October 1, 2007 - June 10, 2011
COMMERCE STREET CAPITAL, LLC
October 19, 2005 - October 1, 2007
SAMCO CAPITAL MARKETS, INC.
February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
August 2, 2001 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
March 2, 1998 - February 14, 2001
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
May 3, 1995 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
June 26, 1984 - February 19, 1988
LEHMAN BROTHERS INC.
February 22, 1978 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 28, 1970 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 40
Date: 6/25/1968
Registered Principal ExaminationCurrent Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
