KW
Kermit D. Wheeler
SYNDICATED CAPITAL
MOUNT DORA, FL
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CRD#: 1048586
KW
Kermit David Wheeler MR.SYNDICATED CAPITAL
Professional summary
Kermit David Wheeler MR., who also goes by Dave Wheeler, Kermit David Wheeler, is a registered financial professional currently at SYNDICATED CAPITAL, INC. located in Mount Dora, Florida.
Kermit is registered as a 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.
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.
CRS (Client Relationship Summary) - BD
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®
NoneExperience
Current
October 2, 2002 - Present
SYNDICATED CAPITAL, INC.
RIA
BD
CRD#: 29037
MOUNT DORA, FL
Past
September 27, 2005 - July 22, 2026
WHEELER & MOTE, LLC
RIA
CRD#: 115312
MT. DORA, FL
Past
March 22, 1996 - October 10, 2002
SECURITIES MANAGEMENT & RESEARCH, INC.
BD
CRD#: 759
CEDAR RAPIDS, IA
Past
July 20, 1994 - April 4, 1995
SEI INVESTMENTS DISTRIBUTION CO.
BD
CRD#: 10690
OAKS, PA
Past
October 1, 1990 - August 9, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
October 1, 1990 - August 9, 1993
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
August 27, 1986 - September 14, 1989
NATIONSBANC SECURITIES OF GEORGIA, INC.
BD
CRD#: 315
Past
June 9, 1983 - June 6, 1985
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
Past
June 29, 1982 - June 6, 1983
EDWARD JONES
BD
CRD#: 250
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SC
SYNDICATED CAPITAL, INC.
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
RIA
Registered Investment Advisory firm - SEC (2/5/2024 Approved)California
Registered Investment Advisory firm - SEC (6/18/2009 Approved)Hawaii
Registered Investment Advisory firm - SEC (6/8/2010 Approved)Maryland
Registered Investment Advisory firm - SEC (10/14/2020 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/7/2009 Approved)Ohio
Registered Investment Advisory firm - SEC (10/16/2012 Approved)Oregon
Registered Investment Advisory firm - SEC (6/22/2009 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (3/24/2011 Approved)Virginia
Registered Investment Advisory firm - SEC (7/16/2009 Approved)Washington
Registered Investment Advisory firm - SEC (1/11/2026 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Florida(10/2/2002)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SC
SYNDICATED CAPITAL, INC.
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
RIA
Registered Investment Advisory firm - SEC (2/5/2024 Approved)California
Registered Investment Advisory firm - SEC (6/18/2009 Approved)Hawaii
Registered Investment Advisory firm - SEC (6/8/2010 Approved)Maryland
Registered Investment Advisory firm - SEC (10/14/2020 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/7/2009 Approved)Ohio
Registered Investment Advisory firm - SEC (10/16/2012 Approved)Oregon
Registered Investment Advisory firm - SEC (6/22/2009 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (3/24/2011 Approved)Virginia
Registered Investment Advisory firm - SEC (7/16/2009 Approved)Washington
Registered Investment Advisory firm - SEC (1/11/2026 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
21671 Gateway Center Drive Suite 111, Diamond Bar, CA 91765
Mailing Address
P. O. Box 274, Brea, CA 92822
Phone number
(310) 751-7098
Established
California since 02/24/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
12
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SC ADD HOLDINGS, LLC | OWNER | |
| BAINES AND MCADAMS LIVING TRUST | OWNER | |
| BAINES, HEATHER UNA | TRUSTEE OF BAINES & MCADAMS LIVING TRUST | 2173889 |
| LEE, FAITH | PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL, MANAGER OF SC ADD HOLDINGS, LLC | 2715226 |
| MCADAMS, JOSEPH LLOYD JR | SROP, CROP, MUNICIPAL SECURITIES PRINCIPAL/TRUSTEE OF BAINES AND MCADAMS LIVING TRUST | 2173886 |
| THORNTON, STEVEN LEE | FINANCIAL AND OPERATIONS PRINCIPAL | 4496384 |
Regulatory assets under management
| Total Number of Accounts | 393 |
| AUM (Assets Under Management) | $ 122,987,781 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
