Jeffrey Wallace
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.
Jeffrey Wallace, who also goes by Jeffrey Scott Wallace, Jeffrey Wallace, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2004. Jeffrey had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3, Series 31 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 19, 2018 - September 6, 2018
AMERICAN TRUST INVESTMENT SERVICES, INC.
July 17, 2018 - September 6, 2018
AMERICAN TRUST INVESTMENT SERVICES, INC.
March 31, 2017 - February 12, 2018
BLUE DUCK WEALTH MANAGEMENT
August 1, 2016 - August 3, 2016
MSI FINANCIAL SERVICES, INC.
August 1, 2016 - August 3, 2016
MSI FINANCIAL SERVICES, INC.
July 22, 2014 - August 14, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
July 7, 2014 - August 14, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
June 10, 2011 - August 4, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 10, 2011 - August 4, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 16, 2011 - March 14, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 1, 2008 - June 18, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - June 18, 2010
WELLS FARGO CLEARING SERVICES, LLC
September 19, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
July 31, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
June 9, 2006 - January 31, 2007
WATERSTONE FINANCIAL GROUP, INC.
March 14, 2006 - May 23, 2006
SIGNATOR INVESTORS, INC.
January 11, 2005 - September 1, 2005
NYLIFE SECURITIES LLC
October 1, 2004 - November 2, 2004
FORESTERS FINANCIAL 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
AMERICAN TRUST INVESTMENT SERVICES, INC.
CRD#: 3001 / SEC#: , 8-14394
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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