Jeffrey L. Wesson
Professional summary
Jeffrey Leo Wesson was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey Leo Wesson, who also goes by Jeffrey Wesson, was a registered financial advisor .
Jeffrey is a previously registered financial advisor and started their career in finance in 1989. Jeffrey had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2012 - June 14, 2013
WADDELL & REED
November 28, 2012 - June 14, 2013
WADDELL & REED
April 24, 2008 - September 5, 2012
CITIZENS SECURITIES, INC.
April 17, 2008 - September 5, 2012
CITIZENS SECURITIES, INC.
January 31, 2006 - April 21, 2008
VOYA FINANCIAL ADVISORS, INC.
January 11, 2006 - April 21, 2008
VOYA FINANCIAL ADVISORS, INC.
March 22, 2004 - January 20, 2006
IFMG SECURITIES, INC.
January 29, 2004 - January 20, 2006
IFMG SECURITIES, INC.
July 2, 2002 - November 26, 2003
QUICK & REILLY, INC.
August 4, 2000 - January 29, 2002
UBS FINANCIAL SERVICES INC.
August 8, 1996 - August 15, 2000
PRUDENTIAL EQUITY GROUP, LLC
July 30, 1993 - August 14, 1996
TUCKER ANTHONY INCORPORATED
June 2, 1989 - July 30, 1993
LEHMAN BROTHERS INC.
February 14, 1989 - June 13, 1989
MF GLOBAL INC.
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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
Red Flags
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