Honorine WallackCRD Number: 1457620
Current Firm: M. Griffith Investment Services, Inc.
Honorine Wallack (CRD# 1457620) is an Investment Advisor Representative working at M. Griffith Investment Services, Inc. in New Hartford, NY and has over 29 years of experience in the finance industry. Honorine Wallack 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.
Wells Fargo Advisors, LLC
Cadaret Grant & Co Inc.
M. Griffith Investment Services, Inc.
|M. Griffith Investment Services, Inc.||New Hartford, NY||May 2012 - Current||5|
|Rbc Capital Markets, LLC||Syracuse, NY||Feb 2008 - May 2012||4|
|Wachovia Securities, LLC||Utica, NY||Jan 2008 - Feb 2008||< 1|
|A. G. Edwards & Sons, Inc.||Utica, NY||Jul 1996 - Dec 2007||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1988|
|S65||NASAA Investment Advisors Law Examination||Mar 2010|
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:
- Customer Dispute
Total Assets Under Management1,141MILLIONS
Total Number of Accounts2,420ACCOUNTS
Average Account Value$471,333
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
AK, AL, AZ, CA, CO, CT, FL, GA, IL, IN, KY, MA, MD, ME, MI, NC, NH, NJ, NV, NY, OH, OR, PA, SC, TN, TX, UT, VA, VT, WA, WV
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