Lawrence A. Wallisch
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.
Lawrence Allan Wallisch, who also goes by Allan Wallisch, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 2004. Lawrence had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2014 - August 3, 2015
AVANTAX ADVISORY SERVICES
July 16, 2014 - August 3, 2015
AVANTAX INVESTMENT SERVICES, INC.
October 18, 2010 - July 31, 2012
TRUSTMONT FINANCIAL GROUP, INC.
October 1, 2010 - July 31, 2012
TRUSTMONT ADVISORY GROUP, INC.
September 11, 2008 - October 28, 2008
FORTUNE FINANCIAL SERVICES, INC.
September 14, 2007 - May 21, 2008
FORTUNE FINANCIAL SERVICES, INC.
March 22, 2007 - August 31, 2007
1717 CAPITAL MANAGEMENT COMPANY
May 26, 2006 - August 31, 2007
1717 CAPITAL MANAGEMENT COMPANY
December 19, 2005 - June 6, 2007
NATIONWIDE SECURITIES, LLC
January 28, 2004 - November 8, 2005
NATIONWIDE SECURITIES, LLC
January 5, 2004 - January 21, 2004
MUTUAL OF OMAHA INVESTOR SERVICES, 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
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
