Roland E. 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.
Roland Eugene Wheeler was a registered financial professional .
Roland is a previously registered financial professional and started their career in finance in 1983. Roland had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 1986 - May 1, 1987
PFG SECURITIES, INC.
December 19, 1984 - July 2, 1985
TRIQUEST FINANCIAL, INC.
July 2, 1984 - February 19, 1986
K & D SECURITIES INC.
December 19, 1983 - August 7, 1984
ABRAHAM SECURITIES CORPORATION
June 22, 1983 - November 14, 1983
PACIFIC WEST 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
PFG SECURITIES, INC.
CRD#: 15401 / SEC#: , 8-32122
Contact information
Documents
Red Flags
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