Robert M. 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.
Robert Martin Wallace was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1975. Robert had worked at 7 firms and has passed the Series 63, Series 7, Series 24 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
December 19, 1987 - January 14, 1994
CROSS CAPITAL CORPORATION
March 14, 1985 - February 1, 1988
MCKINLEY ALLSOPP, INC.
June 3, 1982 - April 19, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
September 16, 1977 - April 20, 1982
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
July 13, 1976 - August 27, 1976
BACHE & CO INCORPORATED
March 20, 1975 - August 2, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CROSS CAPITAL CORPORATION
CRD#: 21223 / SEC#: , 8-38733
Contact information
Documents
Red Flags
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