Shane B. Wheeler
Professional summary
Shane Barclay Wheeler was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Shane Barclay Wheeler, who also goes by Shane Wheeler, was a registered financial advisor .
Shane is a previously registered financial advisor and started their career in finance in 1987. Shane had worked at 10 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2009 - September 15, 2010
FIRST COMMAND BROKERAGE SERVICES, INC.
August 13, 2009 - September 15, 2010
FIRST COMMAND BROKERAGE SERVICES, INC.
April 2, 2007 - January 2, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - January 2, 2009
MORGAN STANLEY & CO. LLC
April 18, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
April 1, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
June 27, 2000 - April 22, 2005
RAYMOND JAMES & ASSOCIATES, INC.
June 27, 2000 - April 22, 2005
RAYMOND JAMES & ASSOCIATES, INC.
January 31, 2000 - June 7, 2000
EQUITABLE ADVISORS, LLC
January 25, 1994 - July 27, 1994
MARKETING ONE SECURITIES, INC.
January 25, 1991 - September 10, 1992
DONALD & CO. SECURITIES INC.
December 17, 1990 - January 28, 1991
FIRST MONTAUK SECURITIES CORP.
November 27, 1990 - December 17, 1990
CHATFIELD DEAN & CO., INC.
October 21, 1987 - December 3, 1990
THE STUART-JAMES COMPANY, INCORPORATED
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
FIRST COMMAND BROKERAGE SERVICES, INC.
CRD#: 3641 / SEC#: , 8-7072
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST COMMAND FINANCIAL SERVICES, INC. | STOCKHOLDER/OWNER | |
| CADDELL, TINA KATHERINE | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 3041675 |
| CERBONE, HEIDI ELIZABETH | VICE PRESIDENT AND TREASURER | 5734664 |
| CHARTAN, ERIC | SENIOR VICE PRESIDENT, CHIEF LEGAL OFFICER | 4809520 |
| GRIFFIN, CASEY JAMES | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 3124214 |
| HUBKA, MEEGHAN LYNNE | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER (FINOP) | 5859322 |
| RICHTER, KELLEEN MARIE | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | 2098017 |
| SMITH, FRANK DEAN | SENIOR VICE PRESIDENT - CHIEF INFORMATION SECURITY OFFICER & CHIEF TECHNOLOGY OFFICER | 6005160 |
| STEFFE, MARK DUANE | PRESIDENT/CEO | 2204689 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
