Gregory W. 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.
Gregory Winston Kent Wallace, who also goes by Gregory Winston Wallace, was a registered financial advisor .
Gregory is a previously registered financial advisor and started their career in finance in 1979. Gregory had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2002 - December 2, 2013
GBS FINANCIAL CORP.
August 26, 1997 - December 2, 2013
GBS FINANCIAL CORP.
February 20, 1996 - August 7, 1997
INDEPENDENT FINANCIAL GROUP, LLC
October 21, 1994 - November 29, 1995
INDEPENDENT FINANCIAL GROUP, LLC
November 13, 1990 - October 17, 1994
GREAT AMERICAN SECURITIES INC.
August 6, 1986 - November 6, 1990
UBS FINANCIAL SERVICES INC.
June 16, 1981 - August 13, 1986
MORGAN STANLEY DW INC.
January 31, 1980 - August 18, 1981
UBS FINANCIAL SERVICES INC.
November 23, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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 8
Date: 12/1/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GBS FINANCIAL CORP.
CRD#: 16906 / SEC#: 801-60744, 8-34631
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
