L. O'neal Wheatley

KOVACK SECURITIES

Charlotte, NC

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CRD#: 1040693

Professional summary

L. O'neal Wheatley, who also goes by L. O'neal Wheatley Jr, L. O'neal Wheatley II, Lester Oneal Wheatley Jr, O'neal Wheatley, is a registered financial professional currently at KOVACK SECURITIES INC. located in Charlotte, North Carolina.

L. O'neal is registered as a RR (Registered Representative) and started their career in finance in 1982. L. O'neal has worked at 17 firms and has passed the Series 63, SIE, Series 50, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

L. O'neal Wheatley Jr | L. O'neal Wheatley Ii | Lester Oneal Wheatley Jr | O'neal Wheatley

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view L. O'neal Wheatley's CRS (Customer Relationship Summary).

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

April 29, 2022 - Present

KOVACK SECURITIES INC.

CRD#: 44848

Charlotte, NC

Past

February 7, 2022 - April 29, 2022

LPL FINANCIAL LLC

CRD#: 6413

CHARLOTTE, NC

Past

July 29, 2005 - February 4, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

October 25, 2004 - August 5, 2005

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

Past

October 22, 2001 - October 27, 2004

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

Past

February 14, 2001 - October 24, 2001

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

March 18, 1991 - February 20, 2001

MARION BASS SECURITIES CORPORATION

CRD#: 7961

CHARLOTTE, NC

Past

March 22, 1990 - May 14, 1990

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

February 15, 1988 - March 26, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 16, 1986 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

October 29, 1985 - September 30, 1986

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

August 15, 1985 - November 18, 1985

FSC SECURITIES CORPORATION

CRD#: 7461

Past

May 15, 1985 - August 21, 1985

LEHMAN BROTHERS INC.

CRD#: 7506

Past

June 28, 1984 - May 7, 1985

MORGAN STANLEY DW INC.

CRD#: 7556

Past

November 4, 1983 - August 13, 1984

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

July 12, 1982 - November 2, 1983

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

July 12, 1982 - November 2, 1983

IDS LIFE INSURANCE COMPANY

CRD#: 6321

Past

July 12, 1982 - November 16, 1983

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(5/2/2022)

Arizona
(5/11/2022)

California
(5/2/2022)

Colorado
(5/2/2022)

Delaware
(5/3/2022)

District of Columbia
(5/5/2022)

Florida
(5/2/2022)

Georgia
(5/2/2022)

Illinois
(5/4/2022)

Indiana
(4/29/2022)

Kentucky
(5/3/2022)

Maryland
(5/3/2022)

Massachusetts
(5/2/2022)

Michigan
(5/4/2022)

Minnesota
(5/2/2022)

Nevada
(5/10/2022)

New Hampshire
(5/4/2022)

New Jersey
(5/3/2022)

New Mexico
(5/4/2022)

New York
(5/28/2022)

North Carolina
(5/2/2022)

Ohio
(5/2/2022)

Pennsylvania
(5/2/2022)

Rhode Island
(5/10/2022)

South Carolina
(5/3/2022)

Texas
(4/30/2022)

Utah
(5/2/2022)

Vermont
(5/2/2022)

Virginia
(5/4/2022)

Washington
(5/3/2022)

West Virginia
(5/2/2022)

Wisconsin
(4/29/2022)

Exams

State Security Law Exam

Series 63

Date: 12/6/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 50

Date: 8/22/2017

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/7/1982

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

KOVACK SECURITIES INC.

KOVACK SECURITIES INC. | RK ADVISORS, INC. | RK ADVISORS

CRD#: 44848 / SEC#: , 8-50847

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308

Mailing Address

6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308

Phone number

(954) 782-4771

Established

Florida since 04/22/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
KOVACK FINANCIAL, LLC.	OWNER
KOVACK, BRIAN JOHN	CEO	2809477
SHICK, ISABELLE ALLISON	FINOP	5364794
WOLFE, MELINDA SUE	CHIEF COMPLIANCE OFFICER/EVP	1627593

Disclosures

Regulatory Event	5
Arbitration	5

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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L. O'neal Wheatley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view L. O'neal Wheatley's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

FIRST ALLIED SECURITIES, INC.

STERNE, AGEE & LEACH, INC.

RYAN BECK & CO.

JOSEPHTHAL & CO., INC.

MARION BASS SECURITIES CORPORATION

A. G. EDWARDS & SONS, INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

INTEGRATED RESOURCES EQUITY CORPORATION

FSC SECURITIES CORPORATION

LEHMAN BROTHERS INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERICAN EXPRESS FINANCIAL CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 12/6/1996

SIE

Date: 10/1/2018

Series 50

Date: 8/22/2017

Series 7

Date: 3/17/1984

Series 6

Date: 7/7/1982

FINRA

Nasdaq Stock Market

Current Firm

KOVACK SECURITIES INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KOVACK SECURITIES INC.

TRUST BUT VERIFY

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