Joseph E. 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.
Joseph E Wallace, who also goes by Joseph Eugene Wallace, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1985. Joseph had worked at 17 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2012 - December 11, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 25, 2011 - June 8, 2012
GRADIENT SECURITIES, LLC
August 6, 2008 - June 1, 2009
MM ASCEND LIFE INVESTOR SERVICES, LLC
October 29, 2007 - June 2, 2008
LASALLE ST SECURITIES, L.L.C.
March 18, 1999 - January 19, 2006
ALLSTATE FINANCIAL SERVICES, LLC
March 11, 1997 - June 17, 1997
IDS LIFE INSURANCE COMPANY
March 11, 1997 - June 17, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
January 13, 1997 - January 14, 1997
IDS LIFE INSURANCE COMPANY
January 13, 1997 - January 14, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
September 4, 1996 - February 19, 1997
DREHER & ASSOCIATES, INC.
February 21, 1995 - September 12, 1996
SECU BROKERAGE SERVICES
December 21, 1994 - January 27, 1995
RETIREMENT INVESTMENT GROUP
April 16, 1993 - September 2, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 16, 1993 - September 2, 1993
EQUITABLE ADVISORS, LLC
May 19, 1992 - November 24, 1992
FIDELITY BROKERAGE SERVICES LLC
March 22, 1990 - May 13, 1992
M.S. EQUITIES, INC.
September 13, 1988 - November 9, 1988
MORGAN STANLEY DW INC.
July 20, 1987 - October 11, 1988
CORNWALL SECURITIES, INC.
October 22, 1985 - May 12, 1986
BLUNT ELLIS & LOEWI INCORPORATED
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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 1
Date: 3/21/1979
Registered Representative ExaminationCurrent Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
