Dean P. Weseli

GOELZER INVESTMENT MANAGEMENT

CARMEL, IN 46032

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CRD#: 4803131

Professional summary

Dean Paul Weseli, CFP®, who also goes by Dean Paul Weseli Mr., is a registered financial advisor currently at GOELZER INVESTMENT MANAGEMENT located in Carmel, Indiana.

Dean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Dean has worked at 6 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dean Paul Weseli Mr.

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 Dean Paul Weseli's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

June 6, 2019 - Present

GOELZER INVESTMENT MANAGEMENT

Office #1: 10 East Main Street Suite 110, Carmel, IN 46032

RIA

CRD#: 44402

CARMEL, IN

Past

March 17, 2014 - June 3, 2019

WINDSOR WEALTH MANAGEMENT, INC.

RIA

CRD#: 105279

INDIANAPOLIS, IN

Past

October 17, 2012 - February 24, 2014

HUFFORD ADVISORS, LLC

RIA

CRD#: 159363

INDIANAPOLIS, IN

Past

February 13, 2009 - September 18, 2012

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

INDIANAPOLIS, IN

Past

February 13, 2009 - September 18, 2012

CHARLES SCHWAB & CO., INC.

CRD#: 5393

INDIANAPOLIS, IN

Past

June 6, 2007 - January 27, 2009

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

BLUE ASH, OH

Past

September 17, 2004 - January 27, 2009

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

INDIANAPOLIS, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GOELZER INVESTMENT MANAGEMENT

GIM INVESTMENT SERVICES, INC. | GPRO | GOELZER INVESTMENT MANAGEMENT, INC. | GOELZER INVESTMENT MANAGEMENT

CRD#: 44402 / SEC#: 801-55588, 8-50682

RIA

Registered Investment Advisory firm - SEC (6/30/1998 Approved)

Terminated by SEC on 08/22/2015

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

California
(7/23/2020)

IAR

Colorado
(7/23/2020)

IAR

Delaware
(7/23/2020)

IAR

Indiana
(6/6/2019)

IAR

Ohio
(9/3/2019)

IAR

Texas
(7/23/2020)

IAR

Washington
(7/23/2020)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/22/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/22/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/16/2004

General Securities Representative Examination

Current Firm

GOELZER INVESTMENT MANAGEMENT

GIM INVESTMENT SERVICES, INC. | GPRO | GOELZER INVESTMENT MANAGEMENT, INC. | GOELZER INVESTMENT MANAGEMENT

CRD#: 44402 / SEC#: 801-55588, 8-50682

RIA

Registered Investment Advisory firm - SEC (6/30/1998 Approved)

Terminated by SEC on 08/22/2015

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Contact information

Main Address

10 East Main Street Suite 110, Carmel, IN 46032

Mailing Address

Phone number

(317) 264-2600

Established

Indiana since 10/16/1997

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A UPDATE 08152025 (8/15/2025)

Direct owners and executive officers

Name	Position	CRD#
FREIHOFER, LISA GOELZER	OWNER
GOELZER, GREGORY WILLIAM	VICE CHAIRMAN AND CEO	1040238
GOELZER, SANDRA KAY	OWNER
JOAN B GOELZER CREDIT SHELTER TR U/A DTD 1-17-1991	OWNER
MCKAMEY, BRETT DEAN	PRESIDENT AND COO	1706545
CONCANNON, JAMES ANDREW	OWNER	1722214
GOELZER EMPLOYEE STOCK OWNERSHIP PLAN	OWNER
SMITH, NEAL ANDREW	OWNER	2168145
BUSH, JEFFREY ADAM	CHIEF COMPLIANCE OFFICER	6157908
RYNERSON, DEBRA ANN	FINANCIAL OPERATIONS PRINCIPAL	1741218

Regulatory assets under management

Total Number of Accounts	877
AUM (Assets Under Management)	$ 3,846,550,007

Disclosures

Regulatory Event	1
Arbitration	2

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.

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Dean P. Weseli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dean Paul Weseli's CRS (Customer Relationship Summary).

Certified licenses

Experience

WINDSOR WEALTH MANAGEMENT, INC.

HUFFORD ADVISORS, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

GOELZER INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 5/22/2007

Series 63

Date: 9/22/2004

Series 7

Date: 9/16/2004

Current Firm

GOELZER INVESTMENT MANAGEMENT

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GOELZER INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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