Charles B. 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.
Charles Bertan Wheeler was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1998. Charles had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 55 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
April 28, 2015 - January 11, 2016
FFEC WEALTH PARTNERS LLC
April 1, 2002 - April 27, 2015
PERKINS, SMART & BOYD, INC.
November 21, 2000 - October 12, 2001
SECURITY INVESTMENT COMPANY OF KANSAS CITY
July 6, 1998 - December 7, 2000
MML INVESTORS SERVICES, LLC
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
Series 55
Date: 3/12/2001
Limited Representative-Equity Trader ExamCurrent Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
