Dennis B. 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.
Dennis Brian Wheeler was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1983. Dennis had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2007 - June 13, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 30, 2007 - August 4, 2020
TD AMERITRADE, INC.
August 22, 2007 - August 4, 2020
TD AMERITRADE, INC.
June 10, 2004 - July 25, 2007
AMERIPRISE ADVISOR SERVICES, INC.
May 12, 2004 - June 4, 2004
AMERIPRISE ADVISOR SERVICES, INC.
March 12, 2004 - July 25, 2007
AMERIPRISE ADVISOR SERVICES, INC.
July 2, 2001 - August 29, 2003
ASSIST INVESTMENT MANAGEMENT COMPANY, INC.
February 8, 2000 - June 29, 2001
FREEDOM FINANCIAL, INC.
January 14, 1997 - December 31, 1999
UMB FINANCIAL SERVICES, INC.
October 20, 1988 - January 27, 1997
KFS BD, INC.
August 5, 1988 - October 4, 1988
UBS FINANCIAL SERVICES INC.
April 2, 1987 - August 25, 1988
FIRSTIER SECURITIES, INC.
July 1, 1986 - December 10, 1986
UBS FINANCIAL SERVICES INC.
October 1, 1983 - February 13, 1985
UBS FINANCIAL SERVICES INC.
September 21, 1983 - December 19, 1983
FIRST MID-AMERICA 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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
