Kermit D. Wheeler

WHEELER & MOTE

MT. DORA, FL

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CRD#: 1048586

Professional summary

Kermit David Wheeler MR., who also goes by Dave Wheeler, Kermit David Wheeler, is a registered financial advisor currently at WHEELER & MOTE, LLC located in Mt. Dora, Florida and SYNDICATED CAPITAL, INC. located in Mount Dora, Florida.

Kermit is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Kermit has worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 24 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Wheeler | Kermit David Wheeler

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) - RIA

Click below to view Kermit David Wheeler MR.'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

September 27, 2005 - Present

WHEELER & MOTE, LLC

RIA

CRD#: 115312

MT. DORA, FL

Current

October 2, 2002 - Present

SYNDICATED CAPITAL, INC.

RIA

CRD#: 29037

MOUNT DORA, FL

Past

March 22, 1996 - October 10, 2002

SECURITIES MANAGEMENT & RESEARCH, INC.

CRD#: 759

CEDAR RAPIDS, IA

Past

July 20, 1994 - April 4, 1995

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

October 1, 1990 - August 9, 1993

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

October 1, 1990 - August 9, 1993

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

August 27, 1986 - September 14, 1989

NATIONSBANC SECURITIES OF GEORGIA, INC.

CRD#: 315

Past

June 9, 1983 - June 6, 1985

A. G. EDWARDS & SONS, INC.

CRD#: 4

Past

June 29, 1982 - June 6, 1983

EDWARD JONES

CRD#: 250

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.

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

California
(10/2/2002)

IAR

California
(12/10/2007)

Florida
(10/2/2002)

IAR

Florida
(9/27/2005)

Texas
(10/2/2002)

IAR

Texas
(12/7/2007)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/27/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/28/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/19/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/31/1998

General Securities Principal Examination

Principal/Supervisory Exam

Series 39

Date: 7/25/1985

Direct Participation Programs Principal Examination

SRO Registrations

FINRA

Current Firm

WHEELER & MOTE, LLC

WEALTH & RETIREMENT STRATEGIES | WILLIAM ANSEL MOTE, JR. | WHEELER & MOTE, LLC

CRD#: 115312 / SEC#:

California

Registered Investment Advisory firm - (3/21/2006 Approved)

Florida

Registered Investment Advisory firm - (9/26/2005 Approved)

Louisiana

Registered Investment Advisory firm - (12/31/2001 Failure to Renew)

Mississippi

Registered Investment Advisory firm - (11/29/2007 Terminated)

North Carolina

Registered Investment Advisory firm - (11/29/2007 Terminated)

Texas

Registered Investment Advisory firm - (3/24/2006 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Mount Dora, FL

Mailing Address

Phone number

(352) 383-3597

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	13
AUM (Assets Under Management)	$ 1,211,850

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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Kermit D. Wheeler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kermit David Wheeler MR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

SYNDICATED CAPITAL, INC.

SECURITIES MANAGEMENT & RESEARCH, INC.

SEI INVESTMENTS DISTRIBUTION CO.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

NATIONSBANC SECURITIES OF GEORGIA, INC.

A. G. EDWARDS & SONS, INC.

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 65

Date: 7/27/2005

Series 63

Date: 5/28/1982

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/19/1982

Series 24

Date: 10/31/1998

Series 39

Date: 7/25/1985

FINRA

Current Firm

WHEELER & MOTE, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WHEELER & MOTE, LLC

TRUST BUT VERIFY

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