John J. 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.
John Jeffrey Wheeler, who also goes by John Wheeler, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2012 - October 4, 2013
COGNIOS CAPITAL, LLC
May 27, 2009 - June 28, 2012
OXFORD CREEK CAPITAL MANAGEMENT, LLC
June 4, 1992 - February 5, 2007
AMERICAN CENTURY INVESTMENT SERVICES INC.
September 4, 1990 - April 23, 1991
WELLS FARGO CLEARING SERVICES, LLC
June 8, 1989 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
November 21, 1986 - June 28, 1989
ROBERT W. BAIRD & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COGNIOS CAPITAL, LLC
CRD#: 148361 / SEC#: 801-77198
Contact information
Documents
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.
