Joseph William Wallace
CFP®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Credentials
Years of Experience
13 years in the financial services industry
Current & Past Employments
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Current Firm
WALLACE ADVISORY GROUP, LLC | WALLACE FINANCIAL INSURANCE SERVICES
Contact Information
Main Address
3658 Mount Diablo Boulevard Suite 225, Lafayette, CA 94549Phone Number
(925) 284-6880# of Employees
4SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
390AUM (Assets Under Management)
$269,452,314Similar Advisors
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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.
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Primary Firm SEC Registration
WALLACE ADVISORY GROUP, LLC | WALLACE FINANCIAL INSURANCE SERVICES
State Registrations and Notice Filings
(10/1/2015)
(10/1/2015)
(10/1/2015)
(8/23/2018)
(10/1/2015)
(10/1/2015)
(3/2/2026)
(1/26/2026)
(4/23/2020)
(10/13/2015)
(12/17/2025)
(8/20/2018)
(8/16/2018)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Joseph William Wallace's CRS (Customer Relationship Summary).
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