William E. Wheeler
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.
William Edward Wheeler, CFP® was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1998. William had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2008
Experience
September 16, 2011 - November 15, 2017
AVANTAX ADVISORY SERVICES
July 18, 2011 - November 15, 2017
AVANTAX INVESTMENT SERVICES, INC.
October 24, 2008 - May 9, 2011
SYMPHONIC FINANCIAL ADVISORS LLC
October 9, 2008 - May 9, 2011
SYMPHONIC SECURITIES LLC
April 21, 2004 - October 6, 2008
RMIN SECURITIES, INC.
January 6, 2003 - October 6, 2008
RMIN SECURITIES, INC.
May 22, 2001 - January 8, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 28, 2000 - May 29, 2001
TRUSTED SECURITIES ADVISORS CORP.
January 3, 1998 - October 20, 2000
AVANTAX INVESTMENT SERVICES, INC.
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
