Mitchell WallaceCRD Number: 5043040
Current Firm: J.p. Morgan Securities LLC
Mitchell Wallace (CRD# 5043040) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in San Luis Obispo, CA and has over 16 years of experience in the finance industry. Mitchell 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.
Lpl Financial LLC
Wells Fargo Clearing Services, LLC
J.p. Morgan Securities LLC
|J.p. Morgan Securities LLC||San Luis Obispo, CA||Oct 2012 - Current||9|
|Wamu Investments, Inc.||San Luis Obispo-chorro, CA||Jan 2008 - Current||13|
|Chase Investment Services Corp.||San Luis Obispo, CA||May 2009 - Oct 2012||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 2005|
|S66||NASAA Uniform Combined State Law Examination||May 2008|
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.Get Details on the FINRA Advisor Check site
Total Assets Under Management188,264MILLIONS
Total Number of Accounts729,091ACCOUNTS
Average Account Value$258,218
- A percentage of assets under your management
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- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
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