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Detailed Report
DENNIS MICHAEL WALLACE
CRD#: 1105336
IA
Investment Adviser
B
Broker
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 300 Willowbrook Lane, Suite 315
West Chester, PA 19382
LPL FINANCIAL LLCCRD#: 6413 300 WILLOWBROOK LN STE 315
WEST CHESTER, PA 19382
Registration History
19901995200020052010201520202025IAPRIVATE ADVISOR GROUP, LLC (CRD# 155216)2012 - Present (12 years)BLPL FINANCIAL LLC (CRD# 6413)2006 - Present (19 years)BNYLIFE SECURITIES INC. (CRD# 5167)1987 - 2006 (19 years)IALPL FINANCIAL LLC (CRD# 6413)2006 - 2013 (7 years)IAEAGLE STRATEGIES CORP (CRD# 110826)1998 - 2006 (7 years)
License(s)

State Registrations

B
Colorado 4/29/2013
B
New Jersey 2/23/2006
B
Delaware 2/23/2006
B
New York 2/23/2006
B
Florida 2/23/2006
B
Ohio 4/17/2014
B
Maryland 2/23/2006
B
Pennsylvania 2/23/2006
B
New Hampshire 2/23/2006
IA
Pennsylvania 8/8/2012

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRIVATE ADVISOR GROUP, LLC (CRD#:155216)
300 Willowbrook Lane, Suite 315, West Chester, PA 19382
Registered with this firm since 8/8/2012
B
LPL FINANCIAL LLC (CRD#:6413)
300 WILLOWBROOK LN STE 315, WEST CHESTER, PA 19382
Registered with this firm since 2/23/2006
Previous Registration(s)
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IA
 02/23/2006 - 03/27/2013 LPL FINANCIAL LLC (CRD#:6413) MALVERN, PA
IA
 11/03/1998 - 03/13/2006 EAGLE STRATEGIES CORP (CRD#:110826) FORT WASHINGTON, PA
B
 01/14/1987 - 03/06/2006 NYLIFE SECURITIES INC. (CRD#:5167) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.