Frederick G. 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.
Frederick Grady Wheeler was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1971. Frederick had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2009 - January 18, 2022
CANTELLA & CO., INC.
January 4, 1999 - December 14, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 30, 1989 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
November 30, 1982 - July 11, 1989
MORGAN STANLEY DW INC.
September 28, 1976 - December 21, 1982
THE ROBINSON-HUMPHREY COMPANY, LLC
March 24, 1971 - August 6, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 000
Date: 3/19/1971
General Securities Principal ExaminationSeries 1
Date: 3/19/1971
Registered Representative ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
