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JW

Jill M. Wallach

Some features on this profile are disabled
CRD#: 4772963
JW

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.

Jill M Wallach was a registered financial professional .

Jill is a previously registered financial professional and started their career in finance in 2009. Jill had worked at 2 firms and has passed the SIE and Series 24 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 15, 2022 - September 24, 2025

ARK SECURITIES LLC

BD
CRD#: 246787
New York , NY
Past

December 14, 2009 - December 17, 2019

BTG PACTUAL US CAPITAL, LLC

BD
CRD#: 149486
NEW YORK, NY

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: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/16/2009
General Securities Principal Examination

Current Firm

AS
ARK SECURITIES LLC
ARK SECURITIES LLC | T&G PRIVATE CAPITAL LLC | HUDSONFIELD SECURITIES LLC

CRD#: 246787 / SEC#: , 8-69629

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

Main Address
1950 University Circle Suite 200, Palo Alto, CA 94303
Mailing Address
1950 University Circle Suite 200, Palo Alto, CA 94303
Phone number
(626) 235-8063
Established
Delaware since 04/21/2015
Firm type
Limited Liability Company
Fiscal year end
November
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
OLIVE ASSET MANAGEMENT LLCPARENT COMPANY
BUNT, DAVID JOHNCHIEF OPERATIONS OFFICER2201693
GRAY, JOHN CLARKEFINOP/CFO/PFO/POO1367440
TAYLOR, MICAH ANTHONY MR.CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER2890693

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.

Company Information

ARK SECURITIES LLC

CRD#: 246787

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