Douglas A. Wiles
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.
Douglas Arthur Wiles was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1990. Douglas had worked at 7 firms and has passed the Series 66, Series 63, Series 7 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
July 20, 2001 - March 9, 2005
EMPIRE FINANCIAL GROUP, INC.
December 7, 1998 - July 20, 2001
CENTENNIAL CAPITAL MANAGEMENT, INC.
February 11, 1998 - December 7, 1998
IFG NETWORK SECURITIES, INC.
October 9, 1996 - February 10, 1998
CRISPIN KOEHLER SECURITIES
April 7, 1993 - October 21, 1996
K.W. BROWN INVESTMENTS
November 8, 1990 - April 12, 1993
GLENFED BROKERAGE SERVICES
May 22, 1990 - October 29, 1990
BOB HEDGES FINANCIAL SERVICES, 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
EMPIRE FINANCIAL GROUP, INC.
CRD#: 28759 / SEC#: , 8-43949
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JESUP AND LAMONT, INC | HOLDING COMPANY | |
| UCHENIK, VLAD | FINOP, COO, CFO | 4071805 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
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.
