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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dominic? Claim Your ProfileDominic Wallace is a financial professional with over 16 years of experience in the financial services industry. Dominic has a strong background in providing investment advice and financial planning services to a diverse clientele, including individuals, high-net-worth individuals, families, businesses, corporations, pension and profit-sharing plans, charitable organizations, and insurance companies. Dominic is currently registered with Morgan Stanley. Before joining Morgan Stanley, Dominic was a registered representative with E*TRADE SECURITIES LLC, BNP PARIBAS SECURITIES CORP., CITICORP INVESTMENT SERVICES and U.S. BANCORP INVESTMENTS, INC. Dominic is also a Series 63, Series 66, Series 24, Series 99TO, SIE, and Series 7 licensed professional. Dominic has a proven track record of success in helping clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
UT
03/16/2018 - Present
Morgan Stanley (SOUTH JORDAN UT)
UT
07/15/2022 - 06/03/2024
E*TRADE SECURITIES LLC (South Jordan UT)
CA
09/28/2011 - 07/10/2017
BNP PARIBAS SECURITIES CORP. (SAN RAMON CA)
NY
10/17/2002 - 07/05/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
MN
05/22/2002 - 07/26/2002
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
NY
02/28/2001 - 02/12/2002
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
BC
Issued 04/02/2012
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 07/24/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/12/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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