Steven Wallace
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.
Steven Wallace was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1970. Steven had worked at 7 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 1991 - March 23, 1992
WESCOM DISCOUNT BROKERAGE
September 24, 1979 - April 1, 1989
SECURITY BROKERAGE SERVICES, INC.
November 10, 1976 - July 26, 2000
DREYFUS BROKERAGE SERVICES, INC.
November 11, 1974 - December 22, 1976
FIRST WILSHIRE SECURITIES, INC.
May 1, 1974 - December 7, 1974
B. J. LERNER & COMPANY, INC.
November 30, 1973 - May 26, 1974
ROBERTS, SCOTT & CO., INC.
July 21, 1970 - November 7, 1974
SNODGRASS & CO., INC.
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
Series 1
Date: 3/23/1964
Registered Representative ExaminationSeries 40
Date: 6/10/1968
Registered Principal ExaminationCurrent Firm
WESCOM DISCOUNT BROKERAGE
CRD#: 14246 / SEC#: , 8-30458
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
