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JW

Joaquin E. Wallace

SEVEN STAGES WEALTH
OAKLEY, CA
Some features on this profile are disabled
CRD#: 6539167
JW
Joaquin Earl WallaceSEVEN STAGES WEALTH

Professional summary

Joaquin Earl Wallace is a registered financial advisor currently at SEVEN STAGES WEALTH LLC located in Oakley, California.

Joaquin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Joaquin has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

At a Glance

Always Fiduciary

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) Global Financial Impact LLC; Not investment-related; Oakley, CA 94561; Insurance sales; Implementation of insurance recommendations; 5 hours per month, 0 during trading hours; Licensed insurance agent 2) Golden Gate University; Not investment-related; San Francisco, CA 94105; Education; Adjunct Professor; 02/2023; 10 hours per month; 5 during trading hours; Instructs courses to graduate and undergraduate students 3) JSK Management & Media LLC; Not investment-related; Oakley, CA. 94561; Media; CEO; 02/2020; 20 hours per month; 0 during trading hours; Various speaking engagements and broadcast opportunities 4) BIM LLC; Not-investment related; Oakley, CA. 94561; Consultant; 5 hours per month; 0 during trading hours, Finance and billing department

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joaquin Earl 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®
None

Experience

Current

August 13, 2026 - Present

SEVEN STAGES WEALTH LLC

RIA
CRD#: 343294
OAKLEY, CA
Past

November 14, 2024 - September 29, 2025

LPL ENTERPRISE, LLC

RIA
CRD#: 8733
SAN JOSE, CA
Past

November 14, 2024 - September 29, 2025

LPL ENTERPRISE, LLC

BD
CRD#: 8733
SAN JOSE, CA
Past

May 17, 2019 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
Walnut Creek, CA
Past

July 7, 2017 - November 14, 2024

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Walnut Creek, CA
Past

October 2, 2015 - June 13, 2017

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
REDWOOD SHORES, CA

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.

Highlighted states indicate IAR registrations

IAR
California
(8/13/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/6/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/28/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/2/2015
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SS
SEVEN STAGES WEALTH LLC
SEVEN STAGES WEALTH LLC | SEVEN STAGES WEALTH, LLC

CRD#: 343294 / SEC#:

California
Registered Investment Advisory firm - (8/13/2026 Approved)
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Contact information

Main Address
Oakley, CA
Mailing Address
Phone number
(510) 363-1979
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV
0

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

SEVEN STAGES WEALTH LLC

CRD#: 343294Oakley, CA

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