David M. Wheaton
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.
David Mathias Wheaton, who also goes by David M Wheaton, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2010. David had worked at 1 firm and has passed the Series 44 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2010 - July 31, 2014
RED CEDAR TRADING, LLC
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
Series 44
Date: 3/17/2010
PCX Market Maker ExamCurrent Firm
RED CEDAR TRADING, LLC
CRD#: 128134 / SEC#: , 8-66099
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RESNICK, SCOTT ALAN | MANAGING MEMBER | |
| KEILEY, EDWARD HAYES | PRINCIPAL CFO, CCO, FINOP AND AML OFFICER | 2187781 |
Disclosures
| Regulatory Event | 3 |
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.
