Daniel E. Wheelock
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.
Daniel Eugene Wheelock was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1998. Daniel had worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2007 - February 7, 2012
BMO HARRIS FINANCIAL ADVISORS, INC.
November 13, 2006 - February 7, 2012
BMO HARRIS FINANCIAL ADVISORS, INC.
January 24, 2003 - October 24, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
February 5, 2002 - January 30, 2003
IFMG SECURITIES, INC.
April 30, 1998 - March 2, 2002
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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