Ronald L. Wetzel

MERRIWETHER INVESTMENTS

Arlington Heights, IL

Some features on this profile are disabled

CRD#: 4671726

Professional summary

Ronald Lee Wetzel, who also goes by Ron L Wetzel, Ron Wetzel, is a registered financial advisor currently at MERRIWETHER INVESTMENTS, INC. located in Arlington Heights, Illinois and DNA SECURITIES LLC located in Chicago, Illinois.

Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Ronald has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, Series 34, Series 3, Series 7, Series 24, Series 4 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ron L Wetzel | Ron Wetzel

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.

Sarna Technologies is a non broker-dealer affiliate of Sarna Finance LLC through the common parent company Sarna Holdings. Mr. Wetzel devotes approximately 15-20 hours per month performing accounting type activities for Sarna Technologies. This activity was in place at the time Sarna the broker-dealer obtained its broker-dealer status. Sarna Technologies performs technology services for the broker-dealer. Merriwether Investments, Inc - accounting activities 5 hours per month Strands Technology Ltd. - non investment related (technology firm) handle various financial, operational, compliance and administrative functions for the firm. 40-45 hours per month. DNA Brokerage - non-BD pending NFA member. Serves as FINOP and performs general accounting, administrative, and overall supervisory duties. 25-30 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Lee Wetzel'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

April 24, 2023 - Present

MERRIWETHER INVESTMENTS, INC.

RIA

CRD#: 310908

Arlington Heights, IL

Current

March 1, 2022 - Present

DNA SECURITIES LLC

Office #1: 141 W. Jackson, Suite 1710a, Chicago, IL 60604Office #2: 141 W. Jackson Suite 1710a, Chicago, IL 60604

CRD#: 312799

Chicago, IL

Past

February 24, 2012 - February 29, 2012

OX TRADING, LLC

CRD#: 154667

CHICAGO, IL

Past

December 12, 2011 - December 7, 2012

BROKERSXPRESS LLC

CRD#: 127081

CHICAGO, IL

Past

January 29, 2004 - April 26, 2016

OPTIONSXPRESS, INC.

CRD#: 103849

CHICAGO, IL

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.

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

IAR

California
(4/24/2023)

Florida
(2/2/2023)

Illinois
(6/3/2022)

IAR

Illinois
(4/24/2023)

Texas
(9/7/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/6/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/13/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 11/29/2024

Operations Professional Examination

General Industry/Product Exam

Series 34

Date: 11/20/2018

Retail Off-Exchange FOREX Examination

General Industry/Product Exam

Series 3

Date: 10/29/2018

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/28/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/28/2021

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/23/2021

Registered Options Principal Examination

Principal/Supervisory Exam

Series 27

Date: 8/3/2021

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

MERRIWETHER INVESTMENTS, INC.

KAI WEALTH | MERRIWETHER INVESTMENTS, INC.

CRD#: 310908 / SEC#:

California

Registered Investment Advisory firm - (2/25/2021 Approved)

Illinois

Registered Investment Advisory firm - (6/3/2022 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Laguna Beach, CA

Mailing Address

335 Heather Pl., Laguna Beach, CA 92651

Phone number

(949) 416-5343

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	28
AUM (Assets Under Management)	$ 3,253,308

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ronald L. Wetzel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Lee Wetzel's CRS (Customer Relationship Summary).

Certified licenses

Experience

DNA SECURITIES LLC

OX TRADING, LLC

BROKERSXPRESS LLC

OPTIONSXPRESS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/2022

Series 63

Date: 9/13/2021

Series 99TO

Date: 11/29/2024

Series 34

Date: 11/20/2018

Series 3

Date: 10/29/2018

Series 7

Date: 1/28/2004

Series 24

Date: 10/28/2021

Series 4

Date: 8/23/2021

Series 27

Date: 8/3/2021

FINRA

Current Firm

MERRIWETHER INVESTMENTS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MERRIWETHER INVESTMENTS, INC.

TRUST BUT VERIFY

Similar Advisors