William Wallace, financial advisor New York NY
96 score

William Wallace

CRD Number: 1267207
Current Firm: Neuberger Berman LLC

William Wallace (CRD# 1267207) is an Investment Advisor Representative working at Neuberger Berman LLC in New York, NY and has over 22 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Neuberger Berman LLC New York, NY Jan 2011 - Current 5
Unemployed Fairfield, CT May 2010 - Dec 2010 < 1
Rothschild Inc. New York, NY Jun 2008 - Apr 2010 1
Rothschild Asset Management Inc. New York, NY Jul 2007 - Apr 2010 2
University Of London London, Jan 2006 - Apr 2010 4
Columbia Management Advisors, LLC Boston, MA Mar 2006 - May 2007 1
Columbia Management Group Boston, MA May 2002 - May 2007 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1996
S65 NASAA Investment Advisors Law Examination Jan 1994
S66 NASAA Uniform Combined State Law Examination Mar 2006
Contact Info for William J. Wallace
Phone Number: 212-476-9000
Firm Website: http://www.nb.com
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    52,626
    MILLIONS
  • Total Number of Accounts
    40,700
    ACCOUNTS
  • Average Account Value
    $1,293,032
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, CA, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, 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
96
Clean Record
This advisor has a clean track record with regulators.

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