Wallace L. Key
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.
Wallace Lawrence Key, who also goes by Larry Key, was a registered financial professional .
Wallace is a previously registered financial professional and started their career in finance in 1980. Wallace had worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 9, Series 10, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2021 - June 6, 2022
COMERICA SECURITIES
June 28, 2021 - June 6, 2022
COMERICA SECURITIES
October 19, 2009 - July 24, 2019
WELLS FARGO CLEARING SERVICES, LLC
February 7, 2007 - August 31, 2007
ATLAS SECURITIES, LLC
February 1, 2007 - October 13, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2007 - July 24, 2019
WELLS FARGO CLEARING SERVICES, LLC
December 5, 1989 - February 1, 2007
ATLAS SECURITIES, LLC
October 16, 1989 - December 31, 1989
KEOGLER, MORGAN & COMPANY, INC.
November 3, 1988 - November 1, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 18, 1986 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
January 6, 1986 - November 1, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 1, 1980 - January 9, 1986
EQUITEC SECURITIES COMPANY
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
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.
