Frederick W. Wahl
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Frederick W. Wahl JR, CIMA®, who also goes by Frederick William Wahl Jr, Frederick William Wahl, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1989. Frederick had worked at 5 firms and has passed the 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 8, 2017 - November 14, 2024
BROWNLIE & BRADEN ADVISORS, LLC
May 4, 2009 - March 26, 2012
WELLS FARGO ALTERNATIVE ASSET MANAGEMENT LLC
May 2, 2001 - May 4, 2005
WELLS FARGO INVESTMENTS, LLC
September 26, 1997 - May 2, 2001
WELLS FARGO SECURITIES INC.
November 21, 1989 - January 13, 1992
CAPIS
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
BROWNLIE & BRADEN ADVISORS, LLC
CRD#: 288879 / SEC#: 801-110796
Contact information
Regulatory assets under management
| Total Number of Accounts | 28 |
| AUM (Assets Under Management) | $ 329,198,635 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/28/2023 |
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.
