James R Wallace

Current Employers

Pnc Wealth Management Llc

300 Fifth Avenue 26Th Floor, Pittsburgh, PA 15222-2722 • United States

Current Registrations

Authority	Category	Status	Date
KY	RA	APPROVED	2004-09-23

KY RA
APPROVED

Since 2004-09-23

Branch Locations

4080 Tates Creek Centre Drive, Lexington, KY 40517 • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Pnc Investments	Lexington	KY	01/2004	Present

01/2004 → Present

Pnc Investments

Lexington, KY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-09-22
S63	Uniform Securities Agent State Law Examination	2001-07-02

S65 Uniform Investment Adviser Law Examination

2004-09-22
S63 Uniform Securities Agent State Law Examination

2001-07-02

Other Names

Jim Robert Wallace

View on SEC IAPD

Current Employers

Pnc Wealth Management Llc

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

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