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Thomas John Wallace

Bofa Securities, Inc.

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About Thomas John Wallace

Thomas Wallace is a financial professional who has over 9 years of experience in the industry. Currently, Thomas is a registered representative at Bofa Securities, Inc. in Charlotte, North Carolina. Prior to his current role, Thomas worked at Jefferies LLC and Deutsche Bank Securities Inc. in New York, New York. Thomas holds Series 63, SIE, and Series 79 licenses.

Firm Information

Thomas Wallace is currently registered with Bofa Securities, Inc.. Bofa Securities, Inc. is a corporation formed in September 2015 and headquartered in New York, NY. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. Bofa Securities provides research-related services and publishes periodicals. The firm has 314 registered representatives.
Bofa Securities, Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

Not reported

Assets Under Management

Not reported

Total Clients

1,401

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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research-related services

Research-related 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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other

Negotiated fees for research-related services

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Thomas Wallace’s Registration & Firm History

NC

11/08/2019 - Present

Bofa Securities, Inc. (CHARLOTTE NC)

NY

06/20/2016 - 10/11/2019

JEFFERIES LLC (NEW YORK NY)

NY

09/16/2013 - 12/23/2015

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/04/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/14/2013

Series 79 - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas John Wallace.
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