LW
Louis A. Wheless
TAR RIVER WEALTH PLANNING
Louisburg, NC 27549-9998
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CRD#: 2846202
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Professional summary
Louis Alfred Wheless III, who also goes by Al Wheless, Louis A (iii) Wheless, is a registered financial advisor currently at TAR RIVER WEALTH PLANNING, LLC located in Louisburg, North Carolina.
Louis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Louis has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Al Wheless | Louis A (iii) Wheless
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.
(1) Name of Business: Address: 126 Jeffress Dr, Louisburg, NC, 27549, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: No Start Date: 10/01/1998 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: NOT REQUIRED AT TIME OF SUBMISSION (2) Name of Business: NA Address: PO Box 441, Louisburg, NC, 27549, United States Activity Type: Professor/Teacher Position/Title: Investment Related: No Start Date: 01/01/2005 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: (3) Name of Business: Resource Management Associates Address: 210 W. Millbrook Road, Raleigh, NC, 27549, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: Yes Start Date: 07/01/2016 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Aid and assist Branch Manager with Projects and Client Service (4) Name of Business: The Wheless Group of Resource Management Associates Address: 126 Jeffress Dr, Louisburg, NC, 27549, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No Start Date: 10/01/1989 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Sattellite of Raleigh Branch - Susanna Robinson Branch Manager - 1099 independent contractor
CRS (Client Relationship Summary) - RIA
Click below to view Louis Alfred Wheless III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 9, 2024 - Present
TAR RIVER WEALTH PLANNING, LLC
Office #1: 109 N Main St, Louisburg, NC 27549-9998RIA
CRD#: 328530
Louisburg, NC
Past
January 2, 2009 - April 4, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
LOUISBURG, NC
Past
December 31, 2001 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
RALEIGH, NC
Past
September 28, 1998 - April 4, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
RALEIGH, NC
Past
March 12, 1997 - September 25, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TR
TAR RIVER WEALTH PLANNING, LLC
TAR RIVER WEALTH PLANNING, LLC
CRD#: 328530 / SEC#: 801-129188
RIA
Registered Investment Advisory firm - (12/8/2023 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
North Carolina(4/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TR
TAR RIVER WEALTH PLANNING, LLC
TAR RIVER WEALTH PLANNING, LLC
CRD#: 328530 / SEC#: 801-129188
RIA
Registered Investment Advisory firm - (12/8/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
109 N Main St, Louisburg, NC 27549-9998
Mailing Address
P.o. Box 505, Louisburg, NC 27549-9998
Phone number
(919) 496-1511
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,326 |
| AUM (Assets Under Management) | $ 370,287,186 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TAR RIVER WEALTH PLANNING, LLC
CRD#: 328530Louisburg, NC 27549-9998TRUST BUT VERIFY
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Contact information
xxxxx@xxxx.xxx
