Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Edward Wallace is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in WAYNE, PA. James Wallace has been in the industry since May 14, 1991 and has a wide range of experience with various firms including Morgan Stanley Smith Barney, UBS Financial Services Inc., and Prudential Securities Incorporated. James Wallace is a Registered Representative and Investment Advisor Representative in PA, NJ, and TX. In addition to providing investment advice, James Edward Wallace is also involved in the financial planning, pension consulting, and portfolio management for both businesses and individuals.
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
PA
12/14/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WAYNE PA)
PA
06/01/2009 - 02/04/2011
MORGAN STANLEY SMITH BARNEY (WAYNE PA)
PA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WAYNE PA)
PA
04/29/2005 - 04/02/2007
MORGAN STANLEY DW INC. (WAYNE PA)
NJ
12/01/2000 - 05/12/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
06/09/1995 - 12/06/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NC
04/17/1991 - 05/11/1995
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
IA
Issued 06/27/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/29/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/20/1993
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 04/15/1991
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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