JW
Joseph W. Wallace
WALLACE ADVISORY GROUP
Lafayette, CA 94549
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CRD#: 6137314
JW
Professional summary
Joseph William Wallace, CFP® is a registered financial advisor currently at WALLACE ADVISORY GROUP, LLC located in Lafayette, California and M HOLDINGS SECURITIES, INC. located in Lafayette, California.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Joseph has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) M Holdings Securities; Investment-Related; 3658 Mount Diablo Boulevard Suite 225, Lafayette, CA 94549; Broker-Dealer; Registered Representative; October 2015; 20 hours per month; 10 hours per month during securities trading hours; Provide advice to clients regarding investment products. 2) Wallace Advisory Group, LLC; 3658 Mt Diablo Blvd, Ste 225, Lafayette CA 94549; Financial Services; Investment-Related; Principal; Financial planning, investment advisory services, life insurance sales; 120 hours/month; 120 hours/month during trading hours. 3) Wallace Financial & Insurance Solutions; 3658 Mt Diablo Blvd Ste 225, Lafayette CA 94549; Life insurance sales and service; Not Investment Related; Principal; Life insurance sales; 09/28/2015; 160 hours per month; 160 hours per month during trading hours 4) Wallace Advisory Group LLC 401(k) Savings Plan; 3658 Mt Diablo Blvd, Ste 225, Lafayette CA 94549; Trustee; Investment Related; Principal/Trustee; Act as trustee of Wallace Advisory 401(k) for self and other employees; 10/01/2015; 1 hour per month; 1 hour per month during trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Joseph William Wallace's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2014
Experience
Current
October 1, 2015 - Present
WALLACE ADVISORY GROUP, LLC
Office #1: 3658 Mount Diablo Boulevard Suite 225, Lafayette, CA 94549RIA
CRD#: 281049
Lafayette, CA
Current
October 1, 2015 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 3658 Mt. Diablo Blvd., Ste 225, Lafayette, CA 94549RIA
BD
CRD#: 43285
Lafayette, CA
Past
May 17, 2013 - October 6, 2015
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
LAFAYETTE, CA
Past
February 11, 2013 - October 5, 2015
NYLIFE SECURITIES LLC
BD
CRD#: 5167
LAFAYETTE, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WA
WALLACE ADVISORY GROUP, LLC
WALLACE ADVISORY GROUP, LLC | WALLACE FINANCIAL INSURANCE SERVICES
CRD#: 281049 / SEC#: 801-106666
RIA
Registered Investment Advisory firm - (10/1/2015 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/1/2015)
RR
California(10/1/2015)
IAR
California(10/1/2015)
RR
Delaware(8/23/2018)
RR
Hawaii(10/1/2015)
RR
Nevada(10/1/2015)
RR
Oregon(4/23/2020)
IAR
Texas(10/13/2015)
RR
Utah(8/20/2018)
RR
Washington(8/16/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WA
WALLACE ADVISORY GROUP, LLC
WALLACE ADVISORY GROUP, LLC | WALLACE FINANCIAL INSURANCE SERVICES
CRD#: 281049 / SEC#: 801-106666
RIA
Registered Investment Advisory firm - (10/1/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3658 Mount Diablo Boulevard Suite 225, Lafayette, CA 94549
Mailing Address
Phone number
(925) 284-6880
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 420 |
| AUM (Assets Under Management) | $ 250,000,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WALLACE ADVISORY GROUP, LLC
CRD#: 281049Lafayette, CA 94549TRUST BUT VERIFY
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