Thomas 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.
Thomas Andrew Wallace, who also goes by Thomas A Wallace, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1971. Thomas had worked at 7 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2000 - June 22, 2001
SLS SECURITIES COMPANY
August 28, 1989 - May 18, 2000
SCHRODER & CO. INC.
May 14, 1988 - September 23, 1989
LEHMAN BROTHERS INC.
September 1, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
November 22, 1982 - August 4, 1987
SCHRODER & CO. INC.
July 17, 1975 - December 10, 1982
CITIGROUP GLOBAL MARKETS INC.
February 1, 1974 - August 3, 1975
EDWARDS & HANLY
February 3, 1971 - May 31, 1973
ASPEN SECURITIES
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: 2/9/1961
Registered Representative ExaminationCurrent Firm
SLS SECURITIES COMPANY
CRD#: 13332 / SEC#: , 8-28456
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FRENCH AMERICAN SECURITIES, INC. | CLASS A LIMITED PARTNER | |
| L. C. MANAGEMENT, INC. | GENERAL PARTNER | |
| MORGAN, LOUIS JOHN II | CHIEF EXECUTIVE OFFICER, COMPLIANCE OFFICER, SROP/CROP | 2194485 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
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.
