Todd J. Wheatley
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.
Todd James Wheatley was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1991. Todd had worked at 5 firms and has passed the Series 65, Series 63, SIE 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
November 4, 2013 - July 7, 2015
SUMMIT FINANCIAL GROUP INC
November 4, 2013 - July 7, 2015
SUMMIT BROKERAGE SERVICES, INC.
September 29, 2005 - November 19, 2013
OPPENHEIMER & CO. INC.
September 26, 2003 - November 19, 2013
OPPENHEIMER & CO. INC.
December 7, 1999 - October 10, 2003
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - October 10, 2003
CITIGROUP GLOBAL MARKETS INC.
August 12, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
SUMMIT FINANCIAL GROUP INC
CRD#: 109485 / SEC#: 801-56645
Contact information
Red Flags
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