Sandy L. 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.
Sandy Lee Wheaton, who also goes by Sandra Lee Dewitt, Sandra Lee Hoyt, Sandy Lee Woolverton, was a registered financial professional .
Sandy is a previously registered financial professional and started their career in finance in 1995. Sandy had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
December 7, 2017 - November 9, 2018
IFC
January 29, 2016 - December 31, 2016
SECURITIES AMERICA ADVISORS, INC.
January 29, 2016 - December 31, 2016
SECURITIES AMERICA, INC.
October 22, 2015 - December 11, 2015
MML INVESTORS SERVICES, LLC
September 22, 2015 - December 11, 2015
MML INVESTORS SERVICES, LLC
April 19, 2006 - September 1, 2015
VOYA FINANCIAL ADVISORS, INC.
November 22, 2004 - September 1, 2015
VOYA FINANCIAL ADVISORS, INC.
November 4, 2003 - November 19, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
October 1, 2002 - November 19, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
August 29, 2001 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
August 1, 1997 - July 26, 2001
SUNSET FINANCIAL SERVICES, INC.
December 18, 1995 - July 2, 1997
HORACE MANN INVESTORS, INC.
Primary Firm SEC Registration
IFC
CRD#: 283976 / SEC#: 801-133751
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
IFC
CRD#: 283976 / SEC#: 801-133751
Contact information
SEC notice filing (8 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 1,255 |
| AUM (Assets Under Management) | $ 110,292,865 |
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.
