Joseph Wallace, financial advisor Lafayette CA
93 score

Joseph Wallace

CRD Number: 6137314
Current Firm: Wallace Advisory Group, LLC

Joseph Wallace (CRD# 6137314) is an Investment Advisor Representative working at Wallace Advisory Group, LLC in Lafayette, CA and has over 5 years of experience in the finance industry. Joseph Wallace has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Wallace Advisory Group, LLC Lafayette, CA Oct 2015 - Current 2
M Holdings Securities, Inc. Portland, OR Sep 2015 - Current 2
Wallace Financial & Insurance Solutions Lafayette, CA Sep 2013 - Current 4
Eagle Strategies LLC Lafayette, CA May 2013 - Sep 2015 2
Nylife Securities LLC San Ramon, CA Dec 2012 - Sep 2015 2
New York Life Insurance Company San Ramon, CA Nov 2012 - Sep 2015 2
William Wallace Clu/chfc Lafayette, CA Jul 2012 - Dec 2012 < 1
Uc Santa Barbara Santa Barbara, CA Sep 2010 - Aug 2012 1
College Of San Mateo San Mateo, CA Aug 2009 - Aug 2010 1
Unemployed Lafayette, CA Mar 2009 - Jul 2009 < 1
Univ Of Nevada Reno Reno, NV Jul 2007 - Feb 2009 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Apr 2013
Contact Info for Joseph W. Wallace
Phone Number: 925-284-6880
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States


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Clean Record
This advisor has a clean track record with regulators.

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