Keith A. Wheeler

ALPHA WEALTH MANAGEMENT AND PLANNING

NOVATO, CA 94945

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CRD#: 1686779

Professional summary

Keith A Wheeler, who also goes by Keith Andrew Wheeler, Keith Wheeler, is a registered financial advisor currently at ALPHA WEALTH MANAGEMENT AND PLANNING LLC located in Novato, California and LPL FINANCIAL LLC located in Novato, California.

Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Keith has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Aliases

Keith Andrew Wheeler | Keith Wheeler

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 Keith A Wheeler'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

August 20, 2020 - Present

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

Office #1: 690 De Long Ave. Suite 300, Novato, CA 94945

RIA

CRD#: 163917

NOVATO, CA

Current

August 14, 2020 - Present

LPL FINANCIAL LLC

Office #1: 690 De Long Ave Ste 300, Novato, CA 94945

RIA

CRD#: 6413

NOVATO, CA

Past

November 4, 2025 - July 14, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

July 23, 2019 - August 17, 2020

MORGAN STANLEY

RIA

CRD#: 149777

SANTA ROSA, CA

Past

July 23, 2019 - August 17, 2020

MORGAN STANLEY

CRD#: 149777

SANTA ROSA, CA

Past

January 11, 2018 - May 17, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SANTA ROSA, CA

Past

December 22, 2017 - May 17, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SANTA ROSA, CA

Past

November 4, 2008 - August 18, 2017

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

SAN FRANCISCO, CA

Past

September 16, 2005 - September 18, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

SAN FRANCISCO, CA

Past

December 5, 2001 - September 23, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

April 29, 1998 - November 30, 2001

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

January 4, 1990 - February 10, 1998

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

April 22, 1989 - December 7, 1989

WESTPAC POLLOCK GOVERNMENT SECURITIES INC.

CRD#: 19792

Past

May 28, 1987 - January 30, 1989

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

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".

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

CRD#: 163917 / SEC#: 801-108554

RIA

Registered Investment Advisory firm - (10/27/2016 Approved)

California

Registered Investment Advisory firm - (12/30/2016 Terminated)

Texas

Registered Investment Advisory firm - (6/20/2022 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arkansas
(2/16/2021)

California
(8/14/2020)

IAR

California
(8/20/2020)

Colorado
(3/9/2025)

Florida
(8/30/2022)

Iowa
(4/14/2023)

Oregon
(9/21/2020)

Texas
(11/9/2021)

Vermont
(2/16/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/10/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/1/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

CRD#: 163917 / SEC#: 801-108554

RIA

Registered Investment Advisory firm - (10/27/2016 Approved)

California

Registered Investment Advisory firm - (12/30/2016 Terminated)

Texas

Registered Investment Advisory firm - (6/20/2022 Terminated)

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Contact information

Main Address

350 Ignacio Blvd Suite 105, Novato, CA 94949

Mailing Address

Phone number

(415) 506-4569

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (3/29/2025)

Regulatory assets under management

Total Number of Accounts	1,411
AUM (Assets Under Management)	$ 355,865,030

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Keith A. Wheeler

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith A Wheeler's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

LEHMAN BROTHERS INC.

LEGG MASON WOOD WALKER, INCORPORATED

PIPER SANDLER & CO.

PERSHING LLC

WESTPAC POLLOCK GOVERNMENT SECURITIES INC.

L. F. ROTHSCHILD & CO. INCORPORATED

Primary Firm SEC Registration

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/10/2018

Series 63

Date: 10/1/1987

SIE

Date: 10/1/2018

Series 7

Date: 6/20/1987

FINRA

Current Firm

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

TRUST BUT VERIFY

Contact information

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