Richard A. 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.
Richard Allen Wheeler, who also goes by Rick Wheeler, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 2 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 1986 - October 26, 1993
CONSECO FINANCIAL SERVICES, INC.
April 29, 1986 - July 3, 1986
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
CONSECO FINANCIAL SERVICES, INC.
CRD#: 629 / SEC#: , 8-13233
Contact information
Documents
Red Flags
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