Donald B. Wiesley

Some features on this profile are disabled

CRD#: 2862806

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.

Donald Bruce Wiesley, who also goes by D Bruce Wiesley Jr, Donald Bruce Wiesley Jr, D Bruce Wiesley Jr Jr, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1997. Donald had worked at 5 firms and has passed the Series 63, Series 65, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

D Bruce Wiesley Jr | Donald Bruce Wiesley Jr | D Bruce Wiesley Jr Jr

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)

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

ENGLEWOOD, CO

Past

May 2, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

ENGLEWOOD, CO

Past

February 14, 1998 - May 2, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CENTENNIAL, CO

Past

April 18, 1997 - May 2, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

WAKEFIELD WEALTH MANAGEMENT, LLLP

CRD#: 173997 / SEC#: 801-80693

RIA

Registered Investment Advisory firm - (1/8/2015 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/8/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/7/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 5/20/1997

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/16/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 5/18/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

WAKEFIELD WEALTH MANAGEMENT, LLLP

CRD#: 173997 / SEC#: 801-80693

RIA

Registered Investment Advisory firm - (1/8/2015 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

7887 E. Belleview Ave, Suite 800, Englewood, CO 80111

Mailing Address

Phone number

(303) 771-0630

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (4/2/2025)

Regulatory assets under management

Total Number of Accounts	619
AUM (Assets Under Management)	$ 388,296,437

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Donald B. Wiesley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WAKEFIELD ASSET MANAGEMENT, LLLP

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

WAKEFIELD WEALTH MANAGEMENT, LLLP

State Registrations and Notice Filings

Exams

Series 63

Date: 5/8/1997

Series 65

Date: 5/7/1997

Series 3

Date: 5/20/1997

Series 7

Date: 4/16/1997

Series 8

Date: 5/18/1999

Current Firm

WAKEFIELD WEALTH MANAGEMENT, LLLP

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WAKEFIELD WEALTH MANAGEMENT, LLLP

TRUST BUT VERIFY

Similar Advisors