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LW

Liam J. Wallace

NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC
South Meriden, CT 06451-5118
Some features on this profile are disabled
CRD#: 7414980
LW

Professional summary

Liam Joseph Wallace, who also goes by Liam Wallace, is a registered financial advisor currently at NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC located in South Meriden, Connecticut.

Liam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Liam has worked at 2 firms and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Liam Wallace

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Liam Joseph Wallace's CRS (Customer Relationship Summary).
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

April 30, 2023 - Present

NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC

Office #1: 79 Main Street, South Meriden, CT 06451-5118
RIA
CRD#: 109203
South Meriden, CT
Past

August 10, 2021 - April 24, 2023

FAIRWATER INVESTMENTS LLC

RIA
CRD#: 312429
ASHBURNHAM, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NE
NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC
ELM CITY WEALTH MANAGEMENT | NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC

CRD#: 109203 / SEC#: 801-57122

RIA
Registered Investment Advisory firm - (12/30/1999 Approved)

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
Connecticut
(4/30/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/20/2021
Uniform Investment Adviser Law Examination

Current Firm

NE
NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC
ELM CITY WEALTH MANAGEMENT | NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC

CRD#: 109203 / SEC#: 801-57122

RIA
Registered Investment Advisory firm - (12/30/1999 Approved)
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Contact information

Main Address
79 Main Street, South Meriden, CT 06451-5118
Mailing Address
Phone number
(203) 935-0265
Established
Firm type
Fiscal year end
# of Employees
11

SEC notice filing (18 States and Territories)

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Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NEW ENGLAND CAPITAL FINANCIAL ADVISORS (3/26/2025)

Regulatory assets under management

Total Number of Accounts2,152
AUM (Assets Under Management)$ 600,040,689

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

NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC

CRD#: 109203South Meriden, CT 06451-5118

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