Douglas Wallach
Professional Summary
Douglas Wallach is a registered financial advisor currently at STONEPEAK SECURITIES LLC located in New York, New York. Douglas is registered as a RR (Registered Representative) and started their career in finance in 2016. Douglas has worked at 2 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 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
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
10 years in the financial services industry
Current & Past Employments
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Current Firm
STONEPEAK SECURITIES LLC
Contact Information
Main Address
550 W. 34th St 48th Floor, New York, NY 10001Mailing Address
550 W. 34th St 48th Floor, New York, NY 10001Phone Number
(212) 907-5100Established
Delaware since 08/13/2021Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(7/19/2022)
(7/19/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Dec 2016About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Douglas Wallach's CRS (Customer Relationship Summary).
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