Individual Firm
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JAMES EDWARD WALLACE
JAMES E WALLACE, JIM WALLACE
CRD#: 2025272
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 724 W LANCASTER AVE
WAYNE, PA 19087
WAYNE, PA 19087
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Disclosures
33
Years of Experience
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State Registrations
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Colorado 3/16/2023
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New York 1/28/2011
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Connecticut 1/28/2011
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North Carolina 9/21/2011
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Florida 1/28/2011
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Pennsylvania 1/28/2011
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Maryland 1/28/2011
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Pennsylvania 1/28/2011
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Massachusetts 6/3/2015
B
South Carolina 8/12/2015
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New Jersey 1/28/2011
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Texas 12/14/2012
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New Jersey 12/9/2020
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Virginia 1/19/2023
SRO Registrations
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Registered with this firm since 1/28/2011
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Registered with this firm since 1/28/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/26/2011 - 02/04/2011 | WAYNE, PA | |
B | 06/01/2009 - 02/04/2011 | WAYNE, PA | |
B | 04/02/2007 - 06/01/2009 | WAYNE, PA | |
B | 04/29/2005 - 04/02/2007 | WAYNE, PA | |
B | 12/01/2000 - 05/12/2005 | WEEHAWKEN, NJ | |
B | 06/09/1995 - 12/06/2000 | NEW YORK, NY | |
B | 04/17/1991 - 05/11/1995 | CHARLOTTE, NC |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.