Kenneth C. 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.
Kenneth Carroll Wallace JR was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1977. Kenneth had worked at 7 firms and has passed the Series 66, Series 63, Series 15, Series 5, PC, Series 7, Series 12, 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
March 7, 2011 - October 8, 2012
PRESIDIO MERCHANT PARTNERS LLC
July 30, 2004 - October 22, 2008
PRESIDIO CAPITAL ADVISORS, LLC
July 30, 2004 - October 3, 2016
PRESIDIO CAPITAL ADVISORS LLC
July 30, 2004 - July 31, 2009
PRESIDIO MERCHANT PARTNERS LLC
July 30, 2004 - September 3, 2010
PRESIDIO CAPITAL ADVISORS, LLC
January 17, 2003 - June 14, 2004
BANC OF AMERICA SECURITIES LLC
January 21, 1998 - June 14, 2004
BANC OF AMERICA SECURITIES LLC
July 26, 1996 - January 30, 1998
JPMSI
March 19, 1992 - September 18, 1996
CREDIT SUISSE SECURITIES (USA) LLC
January 26, 1977 - March 19, 1992
GOLDMAN SACHS & CO. 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
Series 15
Date: 10/17/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/13/1982
Interest Rate Options ExaminationPC
Date: 7/27/1977
AMEX Put and Call ExamSeries 12
Date: 3/24/1980
NYSE Branch Manager ExaminationCurrent Firm
PRESIDIO MERCHANT PARTNERS LLC
CRD#: 46473 / SEC#: , 8-51431
Contact information
FINRA licenses (19 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRESIDIO FINANCIAL PARTNERS LLC DBA THE PRESIDIO GROUP LLC | SHAREHOLDER | |
| COBB, BRODIE LYLE | CEO, CCO | 2286448 |
| COLLINS, ELIZABETH SARAH | FINOP |
Red Flags
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