Christopher Colin Wallace
Professional Summary
Christopher Colin Wallace, who also goes by C C Wallace, was a registered financial advisor. Christopher was a previously registered financial professional and started their career in finance 2004 - 2020. Christopher had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 86, Series 87 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
C C Wallace
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
22 years in the financial services industry
Current & Past Employments
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Current Firm
EASTERLY SECURITIES LLC | EASTERLY SECURITIES, LLC
Contact Information
Main Address
138 Conant Street Suite 100, Beverly, MA 01915Mailing Address
138 Conant Street Suite 100, Beverly, MA 01915Phone Number
(617) 231-4300Established
Delaware since 07/06/2015Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EASTERLY ASSET MANAGEMENT OPERATIONS LLC | SOLE AND MANAGING MEMBER | — |
| FRIZE, BERNARD JOSEPH JR | CHIEF COMPLIANCE OFFICER | 2366022 |
| JULIANO JR, PHILIP L | CHIEF EXECUTIVE OFFICER | 4781008 |
| JUSTER, KENNETH G | CHIEF LEGAL OFFICER | 4788250 |
| MONTAGUE, MICHAEL | CHIEF FINANCIAL OFFICER | 5121305 |
| SMITH, ELIZABETH ANNE | FINOP | 1960549 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 2012About the Series 6 examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Dec 2004About the Series 87 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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