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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

AMY M WALLACE

Advisor at MUTUAL ADVISORS, LLC

OMAHA, NE | Draper, UT

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Search this name across graphsid dfx:ria:96eb80cd-ecc7-7225-a26e-e14f713f4084

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: May 6, 2016 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MUTUAL ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 5, 2016
First registration: May 6, 2016
Dual registered: yes, broker-dealer
Other names: AMY M BROWER|Amy Meyers|Amy M Wallace|Amy Wallace
IAPD individual key: 3237123

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MUTUAL ADVISORS, LLC	Bd affiliated wealth	Feb 18, 2026	n/a	yes	Draper, UT\|OMAHA, NE	Current employment
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Jul 14, 2023	Feb 13, 2026	no	SALT LAKE CITY, UT\|Draper, UT	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Sep 16, 2019	Jun 26, 2023	no	Salt Lake City, UT	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Mar 4, 2019	Jul 3, 2019	no	SALT LAKE CITY, UT	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 6, 2016	Mar 16, 2017	no	WALNUT CREEK, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ADVICE AND PLANNING SERVICES	MUTUAL ADVISORS, LLC	Feb 13, 2026	Feb 18, 2026	5	Firm change	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	ADVICE AND PLANNING SERVICES	Jun 26, 2023	Jul 14, 2023	18	Firm change	Ibd to ibd
EQUITABLE ADVISORS, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Jul 3, 2019	Sep 16, 2019	75	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	EQUITABLE ADVISORS, LLC	Mar 16, 2017	Mar 4, 2019	718	Firm change after gap	Wirehouse to ibd

Relationships

Registered with (5)

→ MUTUAL ADVISORS, LLCRegistered adviserregistration: current employment
Feb 18, 2026 to presentfactForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Jul 14, 2023 to Feb 13, 2026factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Sep 16, 2019 to Jun 26, 2023factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 4, 2019 to Jul 3, 2019factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 6, 2016 to Mar 16, 2017factForm ADV

Dated events

Occurred
Feb 13, 2026
Advisor changed firm
Amy M Wallace left Advice And Planning Services for Mutual Advisors, Llc (registered 2026-02-18)
Form ADVobserved 5 days ago
Occurred
Jun 26, 2023
Advisor changed firm
Amy M Wallace left Ameriprise Financial Services, Llc for Advice And Planning Services (registered 2023-07-14)
Form ADVobserved 5 days ago