Steven A. 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.
Steven Allen Wheeler, CFP® was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1999. Steven had worked at 6 firms and has passed the Series 66, SIE 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
Start date: 1987
Experience
January 4, 2021 - May 25, 2022
LEVEL FOUR FINANCIAL, LLC
September 4, 2014 - May 25, 2022
LEVEL FOUR ADVISORY SERVICES
September 2, 2014 - December 31, 2020
LPL FINANCIAL LLC
March 18, 2004 - August 20, 2010
WEALTH MANAGEMENT, INC.
September 11, 2000 - September 4, 2014
1ST GLOBAL ADVISORS INC
September 30, 1999 - September 4, 2014
1ST GLOBAL CAPITAL CORP.
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
LEVEL FOUR FINANCIAL, LLC
CRD#: 25700 / SEC#: 801-65811, 8-41965
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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