Wallace G. Martin
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 Glenn Martin, who also goes by Wally Martin, Whitey Martin, was a registered financial professional .
Wallace is a previously registered financial professional and started their career in finance in 1981. Wallace had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2008 - December 31, 2011
DALTON STRATEGIC INVESTMENT SERVICES INC.
June 30, 2006 - April 22, 2008
SOUTHEAST INVESTMENTS, N.C., INC.
January 6, 2005 - June 30, 2006
USALLIANZ SECURITIES, INC.
January 14, 2000 - November 5, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 25, 1992 - December 31, 1999
CADARET, GRANT & CO., INC.
January 10, 1990 - November 28, 1992
VERAVEST INVESTMENTS, INC.
June 15, 1989 - December 20, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
September 6, 1988 - June 15, 1989
FSC SECURITIES CORPORATION
April 6, 1981 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
April 6, 1981 - September 20, 1988
IDS LIFE INSURANCE COMPANY
April 6, 1981 - September 20, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
DALTON STRATEGIC INVESTMENT SERVICES INC.
CRD#: 23485 / SEC#: , 8-40545
Contact information
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
