Zackary D. Wallace

ABRI LLC

Lexington, KY 40507

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CRD#: 6466304

Professional summary

Zackary David Wallace, who also goes by Zack Wallace, is a registered financial advisor currently at ABRI LLC located in Lexington, Kentucky.

Zackary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Zackary has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Zack Wallace

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. ABRI FI LLC; MAY EARN COMMISSIONS FROM INSURANCE COMPANIES WITH VARIABLE INSURANCE COMPANIES FOR NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS. INVESTMENT RELATED. OWNER/INSURANCE AGENT. SPENDS APPROX. 8 HRS/MTH, 8 HRS DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zackary David Wallace's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 5, 2021 - Present

ABRI LLC

Office #1: 333 E Short St. #210, Lexington, KY 40507

RIA

CRD#: 314832

Lexington, KY

Past

May 11, 2015 - August 10, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/14/2022)

IAR

Illinois
(8/5/2021)

IAR

Indiana
(8/30/2021)

IAR

Kentucky
(1/31/2023)

IAR

Michigan
(8/11/2021)

IAR

Ohio
(3/1/2022)

IAR

Texas
(11/17/2022)

IAR

Washington
(12/10/2021)

IAR

Wisconsin
(2/13/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/20/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/1/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/11/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ABRI LLC

ABRI FI, LLC | ABRI, LLC | ABRI WEALTH MANAGEMENT | ABRI LLC

CRD#: 314832 / SEC#:

California

Registered Investment Advisory firm - (2/14/2022 Approved)

Illinois

Registered Investment Advisory firm - (8/5/2021 Approved)

Indiana

Registered Investment Advisory firm - (8/30/2021 Approved)

Kentucky

Registered Investment Advisory firm - (1/31/2023 Approved)

Michigan

Registered Investment Advisory firm - (8/11/2021 Approved)

Ohio

Registered Investment Advisory firm - (3/1/2022 Approved)

Texas

Registered Investment Advisory firm - (11/9/2022 Conditional Restricted)

Washington

Registered Investment Advisory firm - (12/10/2021 Approved)

Wisconsin

Registered Investment Advisory firm - (2/12/2025 Approved)

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Contact information

Main Address

333 E Short St. #210, Lexington, KY 40507

Mailing Address

Phone number

(859) 636-6140

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	219
AUM (Assets Under Management)	$ 50,165,474

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Zackary D. Wallace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zackary David Wallace's CRS (Customer Relationship Summary).

Certified licenses

Experience

ABRI LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/20/2021

Series 63

Date: 6/1/2015

SIE

Date: 10/1/2018

Series 6

Date: 5/11/2015

Current Firm

ABRI LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ABRI LLC

TRUST BUT VERIFY

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