PW
CFP · ChFC
PW
CFP · ChFC
Patric Wallace is a CFP, ChFC-designated registered investment advisor, based in New York, NY, with 41 years of industry experience.
Location
1115 Broadway, #10th Fl., Ste. 1068, New York, NY, 10010
Get directionsHistory
Regulatory History (1)
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Customer Dispute
March 2009Denied
Other Business ActivitiesSells Insurance
Patric is an advisory representative of a Registered Investment Advisor (RIA) and spends about a third of his time on investment-related activities. He is also an independent insurance agent for various companies, dedicating a few hours per week to this role.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
October 2009 - Present · 16 yrs 7 mos
Cambridge Investment Research, INC.Broker
October 2009 - Present · 16 yrs 7 mos
Previous Registrations
Financial Network Investment Corporation
August 2000 - October 2009 · 9 yrs 2 mos
Financial Network Investment CorporationBroker
February 1994 - October 2009 · 15 yrs 8 mos
W. S. Griffith & CO., INC.Broker
October 1990 - February 1994 · 3 yrs 4 mos
Home Life Insurance CompanyBroker
October 1990 - October 1992 · 2 yrs
Chris Securities INC.Broker
April 1985 - December 1989 · 4 yrs 8 mos
Hl Securities, INC.Broker
April 1984 - May 1985 · 1 yr 1 mo
State Registrations2 states
NJNY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.