Wayne D. Wheeler
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Wayne Douglas Wheeler was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1982. Wayne had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 1991 - July 30, 1991
SUNPOINT SECURITIES, INC.
December 6, 1989 - February 25, 1991
MALONE & ASSOCIATES, INC.
July 13, 1989 - September 28, 1989
ROBYNS CAPITAL CORP.
April 4, 1989 - June 19, 1989
ALL-TECH DIRECT, INC.
January 25, 1989 - March 14, 1989
WINSTON-FROST SECURITIES, INC.
July 26, 1988 - January 20, 1989
ALL-TECH DIRECT, INC.
May 27, 1988 - June 9, 1989
J.G. SECURITIES CORP.
January 14, 1988 - May 24, 1988
VANDERBILT SECURITIES, INC.
May 19, 1986 - December 8, 1987
PHILIPS, APPEL & WALDEN, INC.
March 30, 1982 - May 27, 1986
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SUNPOINT SECURITIES, INC.
CRD#: 25442 / SEC#: , 8-41741
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEWIS, VAN ROBERSON | CEO/PRESIDENT/FOUNDER | 1562328 |
| CHILDERS, DIANNE BAILEY | VP COMPLIANCE | |
| HAGEN, BRETT WILLIAM | CHIEF OPERATIONS OFFICER | |
| KATZ, DONALD LESTER | FINOP/EXECUTIVE VICE PRESIDENT ACCOUNTING AND COMPLIANCE | |
| SAPAUGH, MARVIN WAYNE | EXECUTIVE V.P. OF INVESTMENT SERVICES |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 1 |
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.
