Ricky Wallace, financial advisor Morristown NJ
76 score

Ricky Wallace

CRD Number: 6257351
Current Firm: Charles Schwab & Company, Inc.

Ricky Wallace (CRD# 6257351) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Morristown, NJ and has over 2 years of experience in the finance industry.

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Company Name Location Dates Years
Charles Schwab & Company, Inc. Morristown, NJ Jul 2015 - Current 1
Charles Schwab Bank Morristown, NJ Jul 2015 - Current 1
Bank Of America, N.a. Pennington, NJ Jul 2014 - Jul 2015 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pennington, NJ Apr 2014 - Jul 2015 1
New York Life Insurance New York, NY Oct 2013 - Apr 2014 < 1
Unemployed Weehawken, NJ May 2013 - Sep 2013 < 1
Hunter Hollis Charlotte, NJ Sep 2012 - May 2013 < 1
Hb&m Sports Charlotte, NC Apr 2012 - Aug 2012 < 1
Santander Consumer Usa Fort Mill, SC Jul 2008 - May 2012 3
Winthrop University Rock Hill, SC Aug 2005 - Dec 2009 4
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2014
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Ricky D. Wallace
Phone Number: 415-667-7000
Firm Website: https://www.schwab.com
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
76

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