James W. Wheelock
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.
James Wellington Wheelock, who also goes by James Wheelock, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2008. James had worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2014 - March 20, 2015
QUEST CAPITAL STRATEGIES, INC.
January 17, 2012 - April 28, 2014
ALLSTATE FINANCIAL SERVICES, LLC
December 24, 2008 - February 6, 2012
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
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Exams
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
