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Rondald L. Wheet

Some features on this profile are disabled
CRD#: 1838131
RW

Professional summary

Rondald Louis Wheet was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Rondald is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Rondald had worked at 6 firms, which includes RICHMARK CAPITAL CORPORATION, FORTRESS FINANCIAL GROUP LTD., SCOTT & STRINGFELLOW INC., GLOBAL CAPITAL SECURITIES CORPORATION, H.J. MEYERS & CO. INC., J. W. GANT & ASSOCIATES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ron Louis Wheet

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 11, 1999 - January 2, 2002

RICHMARK CAPITAL CORPORATION

BD
CRD#: 43162
IRVING, TX
Past

September 24, 1997 - December 10, 1998

FORTRESS FINANCIAL GROUP, LTD.

BD
CRD#: 42414
ISLE OF PALMS, SC
Past

February 28, 1996 - September 4, 1997

SCOTT & STRINGFELLOW, INC.

BD
CRD#: 3309
RICHMOND, VA
Past

July 26, 1993 - February 28, 1996

GLOBAL CAPITAL SECURITIES CORPORATION

BD
CRD#: 16184
ENGLEWOOD, CO
Past

January 22, 1990 - August 25, 1993

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY
Past

May 25, 1988 - January 16, 1990

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/16/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/1/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/1/1994
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/18/1993
General Securities Principal Examination

Current Firm

RC
RICHMARK CAPITAL CORPORATION
RICHMARK CAPITAL CORPORATION

CRD#: 43162 / SEC#: , 8-50150

BD
Cancelled by SEC on 01/31/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 01/22/1997
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
RMC 1 CAPITAL MARKETS, INC.HOLDING COMPANY
WHITE, DOYLE MARKSECRETARY/TREASURER, DIRECTOR2212634

Disclosures

Regulatory Event8

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.

Company Information

RICHMARK CAPITAL CORPORATION

CRD#: 43162

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