VW
Vicki L. Wiley
WESBANCO SECURITIES
Wheeling, WV 26003
Some features on this profile are disabled
CRD#: 5215860
VW
Professional summary
Vicki Lynn Wiley, who also goes by VIcki Lynn Brown, Vicki Lynn Nixon, is a registered financial advisor currently at WESBANCO SECURITIES, INC. located in Wheeling, West Virginia.
Vicki is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Vicki has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vicki Lynn Brown | Vicki Lynn Nixon
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.
WESBANCO TRUST & INVESTMENT SERVICES, SELLING TRUST SERVICES TO CLIENTS, LESS THAN 5 HOURS A MONTH
CRS (Client Relationship Summary) - RIA
Click below to view Vicki Lynn Wiley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vicki Lynn Wiley'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®
NoneExperience
Current
May 8, 2013 - Present
WESBANCO SECURITIES, INC.
Office #1: Wesbanco Securities Inc 1 Bank Plaza, Wheeling, WV 26003Office #2: 190 Main St, New Martinsville, WV 26155Office #3: 910 Lafayette Ave, Moundsville, WV 26041Office #4: 3868 Central Ave, Shadyside, OH 43947Office #5: 285 N. State Rt. 2, New Martinsville, WV 26155RIA
BD
CRD#: 43276
Wheeling, WV
Current
May 7, 2013 - Present
WESBANCO SECURITIES, INC.
Office #1: Wesbanco Securities Inc 1 Bank Plaza, Wheeling, WV 26003Office #2: 190 Main St, New Martinsville, WV 26155Office #3: 910 Lafayette Ave, Moundsville, WV 26041Office #4: 3868 Central Ave, Shadyside, OH 43947Office #5: 285 N. State Rt. 2, New Martinsville, WV 26155RIA
BD
CRD#: 43276
Wheeling, WV
Past
March 24, 2008 - April 26, 2013
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
SHADYSIDE, OH
Past
February 19, 2008 - April 26, 2013
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
SHADYSIDE, OH
Past
October 25, 2006 - November 27, 2007
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
WOODSFIELD, OH
Past
October 18, 2006 - November 27, 2007
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
WOODSFIELD, OH
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".
WS
WESBANCO SECURITIES, INC.
COMMBANC INVESTMENTS, INC. | WESBANCO SECURITIES, INC.
CRD#: 43276 / SEC#: 801-119845, 8-50220
RIA
Registered Investment Advisory firm - SEC (12/8/2020 Approved)Indiana
Registered Investment Advisory firm - SEC (1/8/2021 Terminated)Kentucky
Registered Investment Advisory firm - SEC (12/22/2020 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)North Carolina
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)West Virginia
Registered Investment Advisory firm - SEC (12/31/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
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
RR
Florida(7/15/2013)
RR
Georgia(8/20/2021)
RR
North Carolina(8/20/2021)
RR
Ohio(5/7/2013)
IAR
Ohio(5/8/2013)
RR
Pennsylvania(5/21/2014)
RR
South Carolina(8/12/2015)
RR
West Virginia(5/7/2013)
IAR
West Virginia(5/9/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WS
WESBANCO SECURITIES, INC.
COMMBANC INVESTMENTS, INC. | WESBANCO SECURITIES, INC.
CRD#: 43276 / SEC#: 801-119845, 8-50220
RIA
Registered Investment Advisory firm - SEC (12/8/2020 Approved)Indiana
Registered Investment Advisory firm - SEC (1/8/2021 Terminated)Kentucky
Registered Investment Advisory firm - SEC (12/22/2020 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)North Carolina
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)West Virginia
Registered Investment Advisory firm - SEC (12/31/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
135 West Main St, St Clairsville, OH 43950
Mailing Address
1 Bank Plaza, Wheeling, WV 26003
Phone number
(304) 905-7215
Established
Ohio since 10/03/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
100
SEC notice filing (25 States and Territories)
FINRA licenses (28 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESBANCO INC. | OWNER | |
| CONNER, JAMES LEROY | FINOP | 5339285 |
| GARDILL, JAMES C | COUNSEL | |
| JACKSON, JEFF | DIRECTOR | 7692472 |
| LOVE, SCOTT ALAN | DIRECTOR | 2854247 |
| LUZAR, JAY MICHAEL | DIRECTOR | |
| PERKINS, MICHAEL L | DIRECTOR | 7531438 |
| STAVSKY, LISA FINKELSTEIN | DIRECTOR - MANAGING DIRECTOR/PRESIDENT/CEO | 1749197 |
| WILSON, ROSE LYNN | CCO, MANAGING DIRECTOR OF COMPLIANCE & DIRECTOR | 4072715 |
| ZATTA, JAY | DIRECTOR | 7693273 |
Regulatory assets under management
| Total Number of Accounts | 850 |
| AUM (Assets Under Management) | $ 166,458,070 |
Disclosures
| Regulatory Event | 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.
