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Richard K. Wallace

Edward Jones

Waco, TX

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Current Employers
Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-08-07
  • TX RA
    APPROVED
    Since 2017-08-07

Branch Locations

5401 Crosslake Parkway Suite 300, Waco, TX 76712 • 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
OrganizationCityStateFromTo
Edward D. Jones & Co., L.P. Waco TX 07/1997 Present
  • 07/1997 → Present
    Edward D. Jones & Co., L.P.
    Waco, TX
Other Businesses

Waco Sunrise Rotary Club Waco, TX Start date: 5/17/2016 Director Hours per week: 0 Hours during trading: 0 Director--Regarding compensation, collect 12b-1 fees on the organizations Edward Jones account however not authorized to transact business in the account but can take instructions from one of the 3 members authorized by the Rotary Club. LADY DIANNA LONGHORN RANCH Type of business: RANCHING WACO, TX Start date: 6/12/1992 PART OWNER/OPERATOR Hours per week: 0 Hours during trading: 0 Breed & raise cattle for our own consumption and we sell some to local sale barn.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-08-04
S63 Uniform Securities Agent State Law Examination 1998-01-08
  • S65 Uniform Investment Adviser Law Examination
    2017-08-04
  • S63 Uniform Securities Agent State Law Examination
    1998-01-08
Other Names
  • Richard K Wallace
  • Richard Kent Wallace
  • Richard K. Wallace

View on SEC IAPD

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