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David Wallace

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Smithtown, NY

Pennington, NJ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2010-05-25
NJ RA APPROVED 2010-05-17
  • TX RA
    APPROVED
    Since 2010-05-25
  • NJ RA
    APPROVED
    Since 2010-05-17

Branch Locations

50 Route 111 Me - The Academy/Consumer Bnkg & Invest, Smithtown, NY 11787 • United States

1100-1800 American Blvd Central Business Review Unit, Pennington, NJ 08534 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691) Pennington NJ 05/2010 Present
Bank Of America, Na Pennington NJ 05/2010 Present
  • 05/2010 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691)
    Pennington, NJ
  • 05/2010 → Present
    Bank Of America, Na
    Pennington, NJ
Previous Registrations
  • 2008-09-25 → 2010-05-05
    Td Ameritrade, Inc.
    Fort Worth, TX
  • 2008-09-25 → 2010-05-05
    Td Ameritrade Investment Management, Llc
    Fort Worth, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-09-03
  • S66 Uniform Combined State Law Examination
    2008-09-03
Other Names
  • David Edward Wallace

View on SEC IAPD

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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
COMMONWEALTH FINANCIAL NETWORK
OSAIC WEALTH, INC.
OSAIC INSTITUTIONS, INC.

Other Investors

JAMES VERDI
NICHOLAS KLOPSIS
Matthew Kyle Heeter
LOUIS ANTHONY SORIANO
Frank E Carpentiere
JOSEPH BONURA
JOHN CLEAVELAND PALMER
LYNNE MICHELE BARNHARDT

Other Offices

LPL FINANCIAL LLC · SMITHTOWN, NY
CETERA INVESTMENT ADVISERS LLC · SMITHTOWN, NY
EDWARD JONES · SMITHTOWN, NY
LPL FINANCIAL LLC · SMITHTOWN, NY
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SMITHTOWN, NY
STATE FARM INVESTMENT MANAGEMENT CORP. · SMITHTOWN, NY
STATE FARM INVESTMENT MANAGEMENT CORP. · Smithtown, NY
COMMONWEALTH FINANCIAL NETWORK · Smithtown, NY

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