Thomas T. 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 Terrance Wallace, who also goes by Terry Wallace, Thomas Terrence Wallace, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1969. Thomas had worked at 3 firms and has passed the Series 7TO, SIE, PC, Series 1 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
November 28, 2014 - October 15, 2024
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
October 25, 1985 - July 20, 1992
WASHINGTON FUNDS DISTRIBUTORS, INC.
March 24, 1969 - November 26, 2014
JOHNSTON, LEMON & CO. INCORPORATED
Primary Firm SEC Registration
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
CRD#: 319 / SEC#: 801-67696, 8-3335
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 6/9/1977
AMEX Put and Call ExamSeries 1
Date: 3/19/1969
Registered Representative ExaminationSeries 40
Date: 11/25/1975
Registered Principal ExaminationCurrent Firm
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
CRD#: 319 / SEC#: 801-67696, 8-3335
Contact information
SEC notice filing (7 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOLGER ASSOCIATES LLC | OWNER | |
| FOLGER 2020 TRUST FOR NEIL C. FOLGER | OWNER | |
| FOLGER 2020 TRUST FOR NICHOLAS FRY FOLGER | OWNER | |
| CURRENT, JOHN RANDALL | DIRECTOR, EXECUTIVE VICE-PRESIDENT | 2020187 |
| FOLGER, LEE MERRITT | DIRECTOR, SENIOR ADVISOR | 210685 |
| FOLGER, NEIL CLIFFORD | DIRECTOR, CHAIRMAN OF THE BOARD | 2813165 |
| FOLGER, NEIL CLIFFORD | TRUSTEE, FOLGER 2020 TRUST FOR NEIL C. FOLGER, FOLGER 2020 TRUST FOR NICHOLAS FRY FOLGER, JOHN D. FOLGER SECTION 9 TRUST | 2813165 |
| FOSTER, RICHARD STEVEN | CHIEF FINANCIAL OFFICER / CHIEF OPERATING OFFICER / CHIEF EXECUTIVE OFFICER / PRESIDENT, ROSFP | 1655391 |
| FOSTER, RICHARD STEVEN | CCO | 1655391 |
| FOSTER, RICHARD STEVEN | COO | 1655391 |
Regulatory assets under management
| Total Number of Accounts | 471 |
| AUM (Assets Under Management) | $ 857,718,871 |
Disclosures
| Regulatory Event | 2 |
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.
