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Steven Alexander Wallace

Loop Capital Markets LLC

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About Steven Alexander Wallace

Steven Alexander Wallace is a financial professional with over 18 years of experience in the industry. Steven has held various positions at several firms, including Wachovia Securities, LLC, Wachovia Capital Markets, LLC, Loop Capital Markets LLC and U.S. Bancorp Investments, Inc. Currently, Steven is a registered representative at Loop Capital Markets LLC, where Steven has been since September 2020. Steven holds the Series 52, 53, 63 and SIE licenses and is registered with the state of North Carolina.

Firm Information

Steven Wallace is currently registered with Loop Capital Markets LLC. Loop Capital Markets LLC is a Limited Liability Company formed on June 1, 2004. The firm provides a range of advisory services, including transition management services, equity research services, and security ratings. It serves a variety of client types, including corporations, state or municipal government entities, other investment advisors, and pension plans. The firm is registered with the Securities and Exchange Commission and is licensed to conduct business in all 50 states.

Not reported

Assets Under Management

15

Total Clients

123

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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transition management services/equity research services

Transition management services/equity research services

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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other

Negotiated fees for research services

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Steven Wallace’s Registration & Firm History

NC

09/14/2020 - Present

Loop Capital Markets LLC (CHARLOTTE NC)

NC

10/08/2009 - 09/10/2020

U.S. BANCORP INVESTMENTS, INC. (CHARLOTTE NC)

IL

10/09/2008 - 07/28/2009

LOOP CAPITAL MARKETS LLC (CHICAGO IL)

FL

07/01/2003 - 07/01/2008

WACHOVIA CAPITAL MARKETS, LLC (FT. LAUDERDALE FL)

MO

07/12/2002 - 07/01/2003

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

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Licenses & Designations

BC

Issued 01/14/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/23/2001

Series 53 - Municipal Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/03/2001

Series 52 - Municipal Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Steven Alexander Wallace.
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