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DW

Dana J. Wheeler

ALLSTATE FINANCIAL ADVISORS
Lincoln, NE 68508-1380
Some features on this profile are disabled
CRD#: 4041841
DW

Professional summary

Dana Josephine Wheeler is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Lincoln, Nebraska and ALLSTATE FINANCIAL SERVICES, LLC located in Lincoln, Nebraska.

Dana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Dana has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) - RIA

Click below to view Dana Josephine Wheeler's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 24, 2014 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 151 N 8th St Ste 450, Lincoln, NE 68508-1380
RIA
CRD#: 109524
Lincoln, NE
Current

February 14, 2014 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 151 N 8th St Ste 450, Lincoln, NE 68508-1380
BD
CRD#: 18272
Lincoln, NE
Past

November 21, 2013 - February 6, 2014

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
JACKSONVILLE, FL
Past

November 20, 2013 - February 6, 2014

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
JACKSONVILLE, FL
Past

February 13, 2013 - May 3, 2013

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
MEMPHIS, TN
Past

February 13, 2013 - May 3, 2013

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
MEMPHIS, TN
Past

February 26, 2007 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
TITUSVILLE, FL
Past

February 21, 2007 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

February 13, 2007 - February 20, 2007

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

July 29, 2003 - February 22, 2007

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

RIA
CRD#: 111757
ORLANDO, FL
Past

March 4, 2003 - July 29, 2003

AMSOUTH INVESTMENT SERVICES, INC.

RIA
CRD#: 15692
ORLANDO, FL
Past

February 14, 2000 - February 13, 2007

AMSOUTH INVESTMENT SERVICES, INC.

BD
CRD#: 15692
ORLANDO, FL
Past

December 21, 1999 - February 14, 2000

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI

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".
AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(2/14/2014)
IAR
Florida
(2/24/2014)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/26/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/9/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/31/2006
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/21/2006
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/12/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)
PREMIUM
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Contact information

Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Mailing Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Phone number
(877) 232-2142
Established
Firm type
Fiscal year end
# of Employees
337

SEC notice filing (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts280
AUM (Assets Under Management)$ 82,015,793

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.

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524Lincoln, NE 68508-1380

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