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James R Wallace

PNC Investments

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About James R Wallace

James Wallace is a financial advisor registered with PNC Investments and has been in the industry since June 24, 2001. James Wallace has a Series 6, Series 7, Series 63 and Series 65 license. James Wallace has been registered with PNC Investments since September 23, 2004. Prior to joining PNC Investments, James Wallace was registered with BANC ONE SECURITIES CORPORATION from June 19, 2001 to January 20, 2004. James Wallace holds a Series 6, Series 7, Series 63 and Series 65 licenses and is currently active in Florida, Illinois, Indiana, Kentucky, Louisiana, Maryland, Michigan, Minnesota, Mississippi, Nevada, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee and Texas. James Wallace has a specialization in investment company products, variable contracts and mutual funds.

Firm Information

James Wallace is currently registered with PNC Investments. PNC Investments, a Limited Liability Company formed in 2003, provides investment advisory services across the United States. They manage a wide range of client assets, including those of individuals, high-net-worth individuals, corporations, pension plans, charitable organizations, and churches. PNC Investments offers portfolio management services for individuals and businesses, as well as selection of other advisors. They also participate in wrap fee programs.
PNC Investments

300 FIFTH AVENUE

PITTSBURGH, PA 15222-2722

$23.90B

Assets Under Management

Not reported

Total Clients

1,112

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Wallace’s Registration & Firm History

KY

09/23/2004 - Present

PNC Investments (LEXINGTON KY)

IL

06/19/2001 - 01/20/2004

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

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Licenses & Designations

IA

Issued 09/22/2004

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/02/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/08/2003

Series 7 - General Securities Representative Examination

BC

Issued 06/18/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for James R Wallace. Review regulatory record here.
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