Willie B. Wheat
Professional summary
Willie B Wheat JR, who also goes by Willie B Wheat Jr, Willie B Wheat, Willie B. Wheat, Willie B Wheat Jr, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in New York, New York.
Willie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Willie has worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 6TO, Series 7TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Willie B Wheat JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Willie B Wheat JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 3, 2024 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY 10017June 3, 2024 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY 10017June 26, 2020 - January 11, 2024
CHARLES SCHWAB & CO., INC.
June 26, 2020 - January 11, 2024
CHARLES SCHWAB & CO., INC.
March 11, 2019 - January 2, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 16, 2019 - January 2, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 2014 - December 17, 2015
MORGAN STANLEY
March 27, 2014 - December 17, 2015
MORGAN STANLEY
June 24, 2013 - February 28, 2014
FIFTH THIRD SECURITIES, INC.
October 29, 2004 - August 31, 2011
FIFTH THIRD SECURITIES, INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/12/2024)
(7/15/2024)
(7/12/2024)
(7/15/2024)
(7/12/2024)
(7/15/2024)
(7/12/2024)
(7/15/2024)
(1/8/2025)
(1/9/2025)
(7/12/2024)
(7/15/2024)
(7/12/2024)
(7/12/2024)
(6/3/2024)
(6/3/2024)
(7/12/2024)
(7/15/2024)
(7/12/2024)
(7/15/2024)
(7/12/2024)
(7/19/2024)
(7/12/2024)
(7/16/2024)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 2/16/2019
General Securities Representative ExaminationFINRA
Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
