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Brian J. Wheeler

VERTICAL WEALTH
INDIANAPOLIS, IN 46278
Some features on this profile are disabled
CRD#: 4154771
BW

Professional summary

Brian Joseph Wheeler is a registered financial advisor currently at VERTICAL WEALTH, LLC located in Indianapolis, Indiana.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Brian has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

top-8-questions

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 Brian Joseph Wheeler's 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

September 28, 2011 - Present

VERTICAL WEALTH, LLC

Office #1: 6402 Corporate Drive Suite 102, Indianapolis, IN 46278
RIA
CRD#: 158010
INDIANAPOLIS, IN
Past

September 28, 2005 - November 3, 2009

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
INDIANAPOLIS, IN
Past

September 28, 2005 - November 3, 2009

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
INDIANAPOLIS, IN
Past

August 30, 2002 - September 9, 2005

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
CARMEL, IN
Past

January 29, 2002 - September 9, 2005

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. PAUL, MN
Past

March 27, 2000 - December 17, 2001

AMERICAN UNITED LIFE INSURANCE COMPANY

BD
CRD#: 1075
INDIANAPOLIS, IN
Past

March 27, 2000 - January 18, 2002

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
INDIANAPOLIS, IN

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.

Highlighted states indicate IAR registrations

IAR
Indiana
(9/28/2011)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/24/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/24/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/30/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/24/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

VW
VERTICAL WEALTH, LLC
LEGACY PRACTICE MANAGEMENT | VERTICAL WEALTH, LLC | LEGACY WEALTH, LLC | LEGACY WEALTH MANAGEMENT | LEGACY WEALTH | LEGACY PRACTICE MANAGEMENT, LLC

CRD#: 158010 / SEC#:

Indiana
Registered Investment Advisory firm - (9/28/2011 Approved)
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Contact information

Main Address
6402 Corporate Drive Suite 102, Indianapolis, IN 46278
Mailing Address
Phone number
(317) 456-5444
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts133
AUM (Assets Under Management)$ 31,660,000

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

VERTICAL WEALTH, LLC

CRD#: 158010Indianapolis, IN 46278

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