David John Wallach

Current Employers

Integrity Alliance, Llc.

4135 Nw Urbandale Dr, Urbandale, IA 50322 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2022-02-28
CT	RA	APPROVED	2022-02-23

FL RA
APPROVED

Since 2022-02-28
CT RA
APPROVED

Since 2022-02-23

Branch Locations

66 Anderson Street, New Haven, CT 06511 • United States

4135 Nw Urbandale Dr, Urbandale, IA 50322 • USA

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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Berlin	CT	10/2011	12/2016
Securities America Inc.	North Haven	CT	12/2016	02/2022
Securities America Advisors	North Haven	CT	12/2016	02/2022
Carmax	East Haven	CT	05/2017	05/2020
Brokers International Financial Services	New Haven	CT	02/2022	Present

10/2011 → 12/2016

Lpl Financial Llc

Berlin, CT
12/2016 → 02/2022

Securities America Inc.

North Haven, CT
12/2016 → 02/2022

Securities America Advisors

North Haven, CT
05/2017 → 05/2020

Carmax

East Haven, CT
02/2022 → Present

Brokers International Financial Services

New Haven, CT

Previous Registrations

2016-12-19 → 2022-02-25

Securities America Advisors, Inc.

New Haven, CT
2011-10-11 → 2016-12-27

Lpl Financial Llc

Kensington, CT

Berlin, CT

Southington, CT

Middletown, CT

Meriden, CT

Plainville, CT
2010-04-14 → 2011-10-11

Uvest Financial Services Group, Inc.

Berlin, CT

Southington, CT

Middletown, CT
2009-11-17 → 2010-02-19

Td Wealth Management Services Inc.

Newington, CT
2007-11-15 → 2009-11-17

Cetera Investment Services Llc

Newington, CT
2001-03-20 → 2007-03-12

Osaic Institutions, Inc.

Guilford, CT

Guilford, CT

Other Businesses

***DBA - Wallach Financial; investment related, 66 Anderson St, New Haven, CT 06511; Owner, Financial Advisor; 12/20/2016; 160 hours each month, 120 hours during securities hours, Sales and service. ***INSURANCE SALES AND MARKETING POSITION: Insurance sales and marketing; not investment related; ADDRESS: 66 Anderson St, New Haven, CT; insurance agent; 40 hours per month: 15 hours per month during securities hours:START DATE: 12/19/2016; Sales of insurance products.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-08-11
S63	Uniform Securities Agent State Law Examination	1993-12-21

S65 Uniform Investment Adviser Law Examination

1998-08-11
S63 Uniform Securities Agent State Law Examination

1993-12-21

View on SEC IAPD