John H. Wallick
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.
John Herron Wallick II, who also goes by John H Wallick II, John H Wallick Jr., John H Wallick, John Herron Wallick, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2003. John had worked at 6 firms and has passed the Series 63, Series 66, 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
April 11, 2017 - April 22, 2020
T. ROWE PRICE ASSOCIATES, INC.
July 9, 2012 - April 22, 2020
T. ROWE PRICE INVESTMENT SERVICES, INC.
December 15, 2010 - June 12, 2012
CETERA FINANCIAL SPECIALISTS LLC
March 24, 2010 - June 12, 2012
CETERA INVESTMENT ADVISERS LLC
January 3, 2005 - August 8, 2005
MUTUAL SERVICE CORPORATION
October 16, 2003 - March 12, 2004
MONY SECURITIES CORPORATION
September 15, 2003 - March 12, 2004
MONY SECURITIES CORPORATION
Primary Firm SEC Registration
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
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
Current Firm
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,924 |
| AUM (Assets Under Management) | $ 1,934,233,243,730 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
