Deborah R. Wise

WISE PLANNING

Winnetka, IL 60093

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CRD#: 1631463

Professional summary

Deborah Rose Wise, CFP®, who also goes by Debbie Wise, Deborah R Wise, is a registered financial advisor currently at WISE PLANNING, INC. located in Winnetka, Illinois.

Deborah is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Deborah has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Debbie Wise | Deborah R Wise

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Deborah Rose Wise'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®

CFP^®

Certified Financial Planner

Start date: 1998

Experience

Current

November 16, 1998 - Present

WISE PLANNING, INC.

Office #1: 1401 Tower Road, Winnetka, IL 60093

RIA

CRD#: 123821

Winnetka, IL

Past

July 22, 1992 - January 21, 1997

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

May 21, 1987 - April 10, 1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

WISE PLANNING, INC.

WISE PLANNING | WISE, DEBORAH ROSE | WISE PLANNING, INC.

CRD#: 123821 / SEC#: 801-114999

RIA

Registered Investment Advisory firm - (4/12/2019 Approved)

California

Registered Investment Advisory firm - (5/15/2019 Terminated)

Illinois

Registered Investment Advisory firm - (4/15/2019 Terminated)

Washington

Registered Investment Advisory firm - (4/22/2019 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/15/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Illinois
(11/16/1998)

IAR

Washington
(1/9/2007)

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: 12/7/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/16/1987

General Securities Representative Examination

Current Firm

WISE PLANNING, INC.

WISE PLANNING | WISE, DEBORAH ROSE | WISE PLANNING, INC.

CRD#: 123821 / SEC#: 801-114999

RIA

Registered Investment Advisory firm - (4/12/2019 Approved)

California

Registered Investment Advisory firm - (5/15/2019 Terminated)

Illinois

Registered Investment Advisory firm - (4/15/2019 Terminated)

Washington

Registered Investment Advisory firm - (4/22/2019 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/15/2019 Terminated)

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Contact information

Main Address

Seattle, WA

Mailing Address

Phone number

(847) 834-9473

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A & 2B 031925 (3/19/2025)

Regulatory assets under management

Total Number of Accounts	768
AUM (Assets Under Management)	$ 529,377,526

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.

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Deborah R. Wise

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Deborah Rose Wise's CRS (Customer Relationship Summary).

Certified licenses

Experience

WISE PLANNING, INC.

ROBERT W. BAIRD & CO. INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

WISE PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/7/1992

Series 7

Date: 5/16/1987

Current Firm

WISE PLANNING, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WISE PLANNING, INC.

TRUST BUT VERIFY

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