Cornelius F. Wholey
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.
Cornelius Francis Wholey, who also goes by Neal Wholey, was a registered financial professional .
Cornelius is a previously registered financial professional and started their career in finance in 1961. Cornelius had worked at 8 firms and has passed the Series 63 and PC exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 1995 - January 2, 2003
CAPITOL SECURITIES & ASSOCIATES, INC.
January 23, 1989 - November 5, 1993
MOORS & CABOT, INC.
March 1, 1976 - January 14, 1989
FINANCIAL SQUARE PARTNERS
June 27, 1973 - April 1, 1976
G S GRUMMAN & ASSOC INC
April 13, 1972 - June 23, 1973
ADVEST, INC.
January 4, 1972 - April 22, 1972
STERMAN & GOWELL INC
February 9, 1971 - December 16, 1971
CROWN FINANCIAL GROUP, INC.
October 2, 1961 - February 6, 1971
MAY & GANNON IN
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
PC
Date: 6/6/1984
AMEX Put and Call ExamCurrent Firm
CAPITOL SECURITIES & ASSOCIATES, INC.
CRD#: 7278 / SEC#: , 8-21058
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
