Ashley B. Sinclair
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.
Ashley Britt Sinclair, who also goes by Ashley Britt Wallach, Ashley Wallach, Ashley B Wallaeh, was a registered financial professional .
Ashley is a previously registered financial professional and started their career in finance in 2008. Ashley had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2016 - July 22, 2025
MARKETAXESS CORPORATION
July 23, 2014 - July 12, 2016
TRADEWEB LLC
September 28, 2010 - December 31, 2010
MORGAN STANLEY & CO. LLC
September 28, 2010 - March 26, 2014
MORGAN STANLEY & CO. LLC
August 25, 2008 - September 15, 2010
GOLDMAN SACHS & CO. LLC
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
MARKETAXESS CORPORATION
CRD#: 44542 / SEC#: , 8-50727
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
