Wesley O. Bales
Professional summary
Wesley Owen Bales, who also goes by Lee Bales, is a registered financial advisor currently at WESLEY OWEN BALES INVESTMENT ADVISORY SERVICE located in Sugar Land, Texas.
Wesley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1970. Wesley has worked at 4 firms and has passed the Series 65, Series 63, Series 5, PC, Series 1, Series 12, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Wesley Owen Bales's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 30, 2003 - Present
WESLEY OWEN BALES INVESTMENT ADVISORY SERVICE
Office #1: 7422 Greatwood Lake Dr, N/a, Sugar Land, TX 77479November 17, 1997 - February 14, 2000
JOHN G. KINNARD AND COMPANY, INCORPORATED
March 29, 1974 - November 20, 1997
RAUSCHER PIERCE REFSNES, INC.
November 18, 1970 - March 29, 1974
RAUSCHER PIERCE SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/30/2003)
Exams
Series 5
Date: 10/5/1981
Interest Rate Options ExaminationPC
Date: 2/15/1978
AMEX Put and Call ExamSeries 1
Date: 2/23/1968
Registered Representative ExaminationSeries 12
Date: 6/18/1982
NYSE Branch Manager ExaminationCurrent Firm
WESLEY OWEN BALES INVESTMENT ADVISORY SERVICE
CRD#: 114010 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 107 |
| AUM (Assets Under Management) | $ 32,196,277 |
Red Flags
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