Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Abram Wallace is an active broker and investment advisor representative. Samuel has been in the industry since 1996 and is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Georgia and New Jersey. Samuel has a background in securities and has worked with a variety of firms including Oppenheimer & Co. Inc., Morgan Stanley DW Inc., First United Equities Corporation, MetLife Securities Inc., Metropolitan Life Insurance Company and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Samuel provides investment advice and manages portfolios for individuals, businesses, corporations, and other entities.
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
NJ
09/11/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEWARK NJ)
NC
09/28/2005 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NY
07/13/2004 - 07/05/2005
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
03/31/1998 - 07/14/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
01/30/1997 - 06/23/1997
FIRST UNITED EQUITIES CORPORATION (NEW YORK NY)
MA
01/06/1996 - 11/21/1996
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
01/06/1996 - 11/21/1996
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
NY
11/09/1993 - 07/22/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 9/10/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/15/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/2/2000
Series 4 - Registered Options Principal Examination
BC
Issued 11/6/2000
Series 24 - General Securities Principal Examination
BC
Issued 9/27/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 9/5/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/2/2002
Series 3 - National Commodity Futures Examination
BC
Issued 10/14/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 11/8/1993
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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