Denis R. Wheatley

TREK FINANCIAL

Santa Rosa, CA 95405

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CRD#: 1157887

Professional summary

Denis Richard Wheatley, who also goes by Dennis Richard Wheatley, is a registered financial advisor currently at TREK FINANCIAL located in Santa Rosa, California.

Denis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Denis has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dennis Richard 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.

1)INNOVATIVE RETIREMENT & INSURANCE SERVICES, INC, 4737 STONEHEDGE DRIVE, SANTA ROSA, CA 95405 CATEGORY: INSURANCE INVESTMENT-RELATED: NO TITLE: AGENT DUTIES: OFFERS LIFE INSURANCE, DISABILITY INCOME INSURANCE, HEALTH, HEALTH SAVINGS ACCOUNTS, DENTAL, LONG TERM CARE, FIXED ANNUITY, INDEXED ANNUITY FOR INDIVIDUALS; ALONG WITH GROUP LIFE, DISABILITY, HEALTH, HSA, DENTAL, LONG TERM CARE INSURANCE. START DATE: 4/15/1974 HOURS PER MONTH: 40 HOURS PER MONTH DURING TRADING HOURS: 40 2. OBA: THE RETIREMENT GROUP 3. THE RETIREMENT GROUP, LLC IAR 5% OF TIME SPENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Denis Richard 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

March 31, 2016 - Present

TREK FINANCIAL

Office #1: 4737 Stonehedge Drive, Santa Rosa, CA 95405

RIA

CRD#: 109376

Santa Rosa, CA

Past

April 8, 2016 - August 1, 2017

WORLD EQUITY GROUP, INC.

CRD#: 29087

Santa Rosa, CA

Past

January 16, 2015 - August 23, 2016

THE RETIREMENT GROUP, LLC

RIA

CRD#: 148296

SANTA ROSA, CA

Past

April 13, 2012 - April 4, 2016

FSC SECURITIES CORPORATION

CRD#: 7461

SANTA ROSA, CA

Past

October 31, 2006 - December 31, 2016

INNOVATIVE RETIREMENT ADVISORS, LLC

RIA

CRD#: 140521

SANTA ROSA, CA

Past

February 7, 1999 - April 18, 2012

OSAIC FS, INC.

CRD#: 3870

SANTA ROSA, CA

Past

January 1, 1994 - December 31, 1998

FIRST PRIORITY INVESTMENT CORPORATION

CRD#: 33541

NEWARK, NJ

Past

March 10, 1993 - December 31, 1993

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

June 30, 1986 - October 14, 1989

WELLINGTON SECURITIES, INC.

CRD#: 16659

SAN FRANCISCO, CA

Past

August 13, 1985 - May 5, 1986

BRETCOURT SECURITIES CORPORATION

CRD#: 10604

Past

November 29, 1983 - March 2, 1993

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

August 8, 1983 - June 29, 1984

BRETCOURT SECURITIES CORPORATION

CRD#: 10604

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".

TREK FINANCIAL

CRD#: 109376 / SEC#: 801-58087

RIA

Registered Investment Advisory firm - (11/15/2000 Approved)

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.

Highlighted states indicate IAR registrations

IAR

California
(3/31/2016)

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.

Exams

State Security Law Exam

Series 63

Date: 5/26/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/10/2006

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 8/1/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/29/1983

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 8/5/1983

Direct Participation Programs Representative Examination

Current Firm

TREK FINANCIAL

CRD#: 109376 / SEC#: 801-58087

RIA

Registered Investment Advisory firm - (11/15/2000 Approved)

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Contact information

Main Address

8355 East Hartford Drive Suite 105, Scottsdale, AZ 85255

Mailing Address

Phone number

(480) 483-1510

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TREK FINANCIAL 2A BROCHURE (10/28/2025)

TREK FINANCIAL WRAP BROCHURE (4/10/2025)

Regulatory assets under management

Total Number of Accounts	11,057
AUM (Assets Under Management)	$ 2,492,708,552

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Denis R. Wheatley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Denis Richard Wheatley's CRS (Customer Relationship Summary).

Certified licenses

Experience

WORLD EQUITY GROUP, INC.

THE RETIREMENT GROUP, LLC

FSC SECURITIES CORPORATION

INNOVATIVE RETIREMENT ADVISORS, LLC

OSAIC FS, INC.

FIRST PRIORITY INVESTMENT CORPORATION

OPPENHEIMER & CO. INC.

WELLINGTON SECURITIES, INC.

BRETCOURT SECURITIES CORPORATION

PRINCIPAL SECURITIES, INC.

BRETCOURT SECURITIES CORPORATION

Primary Firm SEC Registration

TREK FINANCIAL

State Registrations and Notice Filings

Exams

Series 63

Date: 5/26/2011

Series 65

Date: 2/10/2006

SIE

Date: 8/1/2017

Series 6

Date: 9/29/1983

Series 22

Date: 8/5/1983

Current Firm

TREK FINANCIAL

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TREK FINANCIAL

TRUST BUT VERIFY

Contact information

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