Frederick S. 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 Sutton Wheeler, who also goes by Frederick S Wheeler, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1966. Frederick had worked at 6 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 000, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2011 - September 18, 2012
ROBERT W. BAIRD & CO. INCORPORATED
August 12, 2011 - September 18, 2012
ROBERT W. BAIRD & CO. INCORPORATED
June 1, 2009 - August 17, 2011
MORGAN STANLEY
June 1, 2009 - August 17, 2011
MORGAN STANLEY
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 30, 1984 - July 31, 1993
LEHMAN BROTHERS INC.
September 29, 1976 - February 27, 1984
FOSTER & MARSHALL INC.
April 25, 1966 - October 22, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
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 15
Date: 8/18/1986
Foreign Currency Options ExaminationSeries 5
Date: 5/2/1986
Interest Rate Options ExaminationSeries 000
Date: 4/22/1966
General Securities Principal ExaminationSeries 1
Date: 4/22/1966
Registered Representative ExaminationSeries 40
Date: 10/12/1976
Registered Principal ExaminationCurrent Firm
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 |
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.
