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Robert D. Wallace

TRADINGBLOCK
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4606185
RW

Professional summary

Robert Dirlam Wallace is a registered financial professional currently at TRADINGBLOCK located in Chicago, Illinois.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2002. Robert has worked at 5 firms and has passed the SIE, Series 99TO and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Dirlam Wallace's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 31, 2013 - Present

TRADINGBLOCK

Office #1: 311 S. Wacker Dr., Ste 1775, Chicago, IL 60606
BD
CRD#: 128605
Chicago, IL
Past

September 7, 2011 - October 24, 2011

TITLE SECURITIES, INC.

BD
CRD#: 30057
CHICAGO, IL
Past

March 27, 2009 - August 31, 2009

MELVIN SECURITIES, L.L.C.

BD
CRD#: 29767
CHICAGO, IL
Past

September 6, 2006 - May 29, 2007

LASALLE CAPITAL, L.L.C.

BD
CRD#: 133526
CHICAGO, IL
Past

May 12, 2005 - December 21, 2007

MELVIN SECURITIES, L.L.C.

BD
CRD#: 29767
CHICAGO, IL
Past

November 8, 2002 - May 3, 2005

PLATINUM TRADING, LLC

BD
CRD#: 46402
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/2/2023
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TR
TRADINGBLOCK
AOS, INC. | TUBREAUXS WEALTH & LEGACY SOLUTIONS | TRADINGBLOCK | TRADING BLOCK | THE CUSICK GROUP | SHEIKH INVESTMENTS | MYIPO | MONEYBLOCK ASSET MANAGEMENT | MONEYBLOCK | MIDWEST CAPITAL RESOURCES, INC. | AOS, INC. DBA MONEYBLOCK

CRD#: 128605 / SEC#: , 8-66163

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
311 S. Wacker Dr., Ste 1775 Ste 650, Chicago, IL 60606
Mailing Address
311 S. Wacker Dr., Ste 1775, Chicago, IL 60606
Phone number
(312) 253-0385
Established
Illinois since 06/02/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CAMBRIA HOLDINGS INC.OWNER
HEFFERNAN, THOMAS ROBERTVP5538731
HOEH, PHILLIP JOHNCCO2231877
MARTINO, GARY ANTHONYVP1458334
OGILVIE, DONAL SHANNONCOO2863275
VANDERHOOF, JOEL MICHAELPRESIDENT - INVESTMENT BANKING4152196
WALLACE, ROBERT DIRLAMCFO4606185
WICKERT, JERE THOMASCEO AND PRESIDENT2079719

Disclosures

Regulatory Event9
Arbitration3

Red Flags

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Company Information

TRADINGBLOCK

CRD#: 128605Chicago, IL 60606

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