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DW

Dean A. Wilhelm

Some features on this profile are disabled
CRD#: 4953800
DW

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.

Dean Albert Wilhelm, who also goes by Dean A Wilhelm, Dean Wilhelm, was a registered financial professional .

Dean is a previously registered financial professional and started their career in finance in 2007. Dean had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dean A Wilhelm | Dean Wilhelm

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 26, 2013 - April 23, 2015

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
PHOENIX, AZ
Past

December 18, 2013 - April 23, 2015

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
PHOENIX, AZ
Past

October 16, 2013 - November 6, 2013

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
PEORIA, AZ
Past

October 7, 2013 - November 6, 2013

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
PHOENIX, AZ
Past

August 10, 2011 - May 2, 2013

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
PHOENIX, AZ
Past

June 28, 2011 - May 2, 2013

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
PHOENIX, AZ
Past

September 29, 2010 - June 14, 2011

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WASHINGTON, DC
Past

September 21, 2010 - June 14, 2011

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WASHINGTON, DC
Past

March 13, 2009 - August 12, 2010

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
WASHINGTON, DC
Past

March 13, 2009 - August 12, 2010

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
WASHINGTON, DC
Past

June 1, 2007 - March 13, 2009

FERRIS, BAKER WATTS, LLC

RIA
CRD#: 285
WASHINGTON, DC
Past

February 26, 2007 - March 13, 2009

FERRIS, BAKER WATTS, LLC

BD
CRD#: 285
WASHINGTON, DC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/30/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/23/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/23/2007
General Securities Representative Examination

Current Firm

UF
USAA FINANCIAL PLANNING SERVICES
USAA FINANCIAL PLANNING NETWORK | USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC. | USAA FINANCIAL PLANNING SERVICES | USAA FINANCIAL PLANNING NETWORK, INC. | USAA FINANCIAL PLANNING NETWORK INC

CRD#: 106352 / SEC#: 801-53347

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Contact information

Main Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2 BROCHURE (3/31/2017)

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.

Company Information

USAA FINANCIAL PLANNING SERVICES

CRD#: 106352

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