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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2021-06-03 |
| TX | RA | APPROVED | 2021-06-03 |
Branch Locations
1906 Towne Centre Blvd Suite 375, Bldg #4, Annapolis, MD 21401-3686 • United States
Annapolis, MD • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Annapolis | MD | 04/1989 | 06/2021 |
| Bank Of America, Na | Annapolis | MD | 12/2009 | 06/2021 |
| Rbc Capital Markets, Llc | Annapolis | MD | 06/2021 | Present |
| City National Bank | Annapolis | MD | 08/2021 | Present |
(1) I*91354 For profit or not for profit: For-Profit Organization Name of outside business organization: Wallace Management LLC Investment related: N Address of business: Annapolis, Maryland 21403 Nature of business: LLC, Position, title, association: Family Held, Start date of relationship: 12/13/2002 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: my wife is owner and in case of her incapacity I am a signer on the account (2) NAME OF ENTITY: Wallace Management Company LLC ADDRESS: 119 E Lake Drive Annapolis Maryland 21403 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Aug 08, 1993 CAPACITY: Other DUTIES: I have no responsibilities regarding Wallace Management LLC. My wife (Mary) started the business after the birth of our first daughter so she could WFH. HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-12-24 |
| S63 | Uniform Securities Agent State Law Examination | 1988-12-12 |
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