Wallace Mayer De Rothsman
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.
Wallace Mayer De Rothsman, who also goes by Wallace De Rothman, Wallace Mayer De Rothsman, Wallace Om De Rothsman, Wallace Om Mayer De Rothsman, was a registered financial professional .
Wallace Mayer is a previously registered financial professional and started their career in finance in 2008. Wallace Mayer had worked at 4 firms and has passed the Series 63, Series 82TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2012 - June 6, 2012
PHX FINANCIAL, INC.
January 24, 2012 - May 21, 2012
BROAD STREET SECURITIES GROUP, LLC
November 12, 2009 - January 11, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
July 25, 2008 - November 20, 2008
DAVID LERNER ASSOCIATES, 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 82TO
Date: 3/29/2019
Limited Representative-Private Securities OfferingsCurrent Firm
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
