Robert L. 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 Lee Wallace, who also goes by Bob Wallace, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1978. Robert had worked at 5 firms and has passed the Series 65, Series 63, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 1996 - November 3, 1997
AMERICAN INVESTMENT SERVICES, INC.
June 24, 1992 - May 16, 1996
SECURITIES AMERICA, INC.
December 4, 1986 - May 21, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 12, 1984 - October 15, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
December 1, 1978 - April 6, 1984
E. F. HUTTON & COMPANY INC
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 5
Date: 10/22/1981
Interest Rate Options ExaminationCurrent Firm
AMERICAN INVESTMENT SERVICES, INC.
CRD#: 21111 / SEC#: , 8-38685
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
