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CFP
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CFP

Wallace Holleman

Raymond James Financial Services Advisors, INC
30 Years of Experience
Nashville, TN
1 DisclosureBroker
View SEC Summary
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Wallace Holleman is a CFP-designated registered investment advisor at Raymond James Financial Services Advisors, INC, based in Nashville, TN, with 30 years of industry experience. Wallace is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

104 Kenner Avenue, Suite 200, Nashville, TN, 37205

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Wallace is the owner of Ascent Wealth Advisory, LLC, which serves as the business entity for an independent RJFS office. This takes about half of Wallace's time.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
September 2016 - Present · 10 yrs 1 mo
Raymond James Financial Services, INC.Broker
September 2016 - Present · 10 yrs 1 mo
Previous Registrations
Raymond James & Associates, INC.
December 2010 - September 2016 · 5 yrs 9 mos
Raymond James & Associates, INC.Broker
December 2010 - September 2016 · 5 yrs 9 mos
Robert W. Baird & CO. Incorporated
March 2004 - December 2010 · 6 yrs 9 mos
Robert W. Baird & CO. IncorporatedBroker
June 2001 - December 2010 · 9 yrs 6 mos
First Union Securities, INC.Broker
October 1999 - July 2001 · 1 yr 9 mos
First Union Capital Markets CORP.Broker
February 1996 - October 1999 · 3 yrs 8 mos
State Registrations28 states
ALCACOCTFLGAIDKSKYLAMAMDMIMNMOMSNCNJNVNYOHPASCTNTXUTVAWA
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.
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