James Wallace is a registered investment advisor, based in Newtown, CT, with 25 years of industry experience.
Location
32 Church Hill Road, Unit 107, Newtown, CT, 06470
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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James is a board member of Newtown Youth & Family Services and the treasurer for Bens Lighthouse, a non-profit. He dedicates minimal time to these activities, which are not investment-related.
Employment History
Current Registrations
Steward Partners Investment Solutions, LLCBroker
October 2023 - Present · 2 yrs 7 mos
Steward Partners Investment Advisory, LLC
October 2023 - Present · 2 yrs 7 mos
Previous Registrations
Infinex Investments, INC.Broker
September 2004 - October 2023 · 19 yrs 1 mo
Infinex Investments, INC.
September 2004 - October 2023 · 19 yrs 1 mo
Quick & Reilly, INC.
May 2004 - October 2004 · 5 mos
Quick & Reilly, INC.Broker
June 2003 - October 2004 · 1 yr 4 mos
Commonwealth Financial NetworkBroker
May 2001 - May 2003 · 2 yrs
Nathan & Lewis Securities, INC.Broker
October 2000 - May 2001 · 7 mos
State Registrations9 states
CTFLMAMONCNYRISCVA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.