Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Henry? Claim Your ProfileHenry Keith Wallace is an investment advisor representative at Merrill Lynch, Pierce, Fenner & Smith Inc. with over 30 years of experience in the financial industry. Henry joined Merrill Lynch in 2006 and previously worked at Citigroup Global Markets Inc. Henry specializes in portfolio management for both businesses and individuals. Henry is registered with the Securities and Exchange Commission and has been a registered investment advisor since 2006. Henry is a Series 7, 63, and 65 licensed professional.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
TX
06/30/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DALLAS TX)
TX
05/20/1994 - 07/13/2006
CITIGROUP GLOBAL MARKETS INC. (DALLAS TX)
NY
11/09/1989 - 06/02/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 09/16/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/03/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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