Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Louis Wallace is a financial advisor registered in Massachusetts and New Hampshire. James has been in the financial services industry since 1992. James is currently employed by Capitol Securities Management, Inc. in Boston. James has a total of 8 product exams, 7 principal exams, and 3 state exams. James has been with Capitol Securities Management, Inc. since 2021. Prior to this, James worked at Arthur W. Wood Company, Inc., First Allied Securities, Inc., Cetera Advisors LLC, Summit Brokerage Services, Inc., Investors Capital Corp., Advisor Direct, and National Financial Services Corporation. James provides financial planning, pension consulting, educational seminars, and selection of other advisors.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
MA
09/22/2021 - Present
Capitol Securities Management, Inc. (Boston MA)
MA
11/25/2020 - 04/26/2021
WOOD (ARTHUR W.) COMPANY, INC. (BOSTON MA)
CO
04/13/2020 - 04/22/2020
FIRST ALLIED SECURITIES, INC. (DENVER CO)
CO
07/08/2016 - 04/22/2020
CETERA ADVISORS LLC (DENVER CO)
MA
06/22/2018 - 12/03/2019
SUMMIT BROKERAGE SERVICES, INC. (WAKEFIELD MA)
MA
01/26/2000 - 01/18/2017
INVESTORS CAPITAL CORP. (LYNNFIELD MA)
MA
03/14/2013 - 06/14/2016
ADVISOR DIRECT (LYNNFIELD MA)
MA
03/21/1999 - 01/25/2000
NATIONAL FINANCIAL SERVICES CORPORATION (BOSTON MA)
NA
11/18/1997 - 12/10/1997
NATIONAL FINANCIAL SERVICES CORPORATION
RI
01/21/1991 - 11/18/1997
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
BOTH
Issued 03/02/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 03/10/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/19/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/10/2003
Series 27 - Financial and Operations Principal Examination
BC
Issued 03/26/2003
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/11/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 03/04/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/11/1994
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/04/1991
Series 7 - General Securities Representative Examination
BC
Issued 01/18/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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