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Chad E. Wiegand

Some features on this profile are disabled
CRD#: 2110197
CW

Professional summary

Chad Everett Wiegand was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Chad is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Chad had worked at 9 firms, which includes WIEGAND ASSET MANAGEMENT LLC, NATIONAL PLANNING CORPORATION, OSAIC SERVICES INC., BROOKSTREET SECURITIES CORPORATION, FIRST WALL STREET CORP., RICHMARK CAPITAL CORPORATION, WELLS FARGO CLEARING SERVICES LLC, THE STUART-JAMES COMPANY INCORPORATED, CHATFIELD DEAN & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

November 14, 2013 - September 22, 2015

WIEGAND ASSET MANAGEMENT, LLC

RIA
CRD#: 168052
LAKESIDE, CA
Past

December 8, 2008 - April 2, 2013

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
LAKESIDE, CA
Past

December 8, 2008 - April 2, 2013

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LAKESIDE, CA
Past

July 17, 2007 - December 15, 2008

OSAIC SERVICES, INC.

RIA
CRD#: 133763
LAKESIDE, CA
Past

July 11, 2007 - December 15, 2008

OSAIC SERVICES, INC.

BD
CRD#: 133763
LAKESIDE, CA
Past

April 4, 2007 - July 11, 2007

BROOKSTREET SECURITIES CORPORATION

RIA
CRD#: 14667
LAKESIDE, CA
Past

April 2, 2007 - July 11, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
LAKESIDE, CA
Past

June 27, 2006 - April 3, 2007

FIRST WALL STREET CORP.

RIA
CRD#: 13024
LAKESIDE, CA
Past

November 5, 2001 - December 31, 2005

FIRST WALL STREET CORP.

RIA
CRD#: 13024
LAKESIDE, CA
Past

March 2, 1999 - April 3, 2007

FIRST WALL STREET CORP.

BD
CRD#: 13024
LAKESIDE, CA
Past

July 22, 1998 - March 10, 1999

RICHMARK CAPITAL CORPORATION

BD
CRD#: 43162
IRVING, TX
Past

March 4, 1996 - July 20, 1998

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

January 10, 1991 - March 24, 1992

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691
DENVER, CO
Past

January 10, 1991 - February 28, 1996

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

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
RR
IAR
Series 66
Date: 11/22/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/9/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/8/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/21/1998
General Securities Principal Examination

Current Firm

WA
WIEGAND ASSET MANAGEMENT, LLC
WIEGAND ASSET MANAGEMENT LLC | WIEGAND ASSET MANAGEMENT, LLC

CRD#: 168052 / SEC#:

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Contact information

Main Address
Escondido, CA
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

WIEGAND ASSET MANAGEMENT, LLC

CRD#: 168052

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