Benjamin W. Wheeler
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.
Benjamin Wade Wheeler, who also goes by Ben Wheeler N/a, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2010. Benjamin had worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2022 - January 8, 2024
FIRST HORIZON ADVISORS, INC.
November 3, 2021 - January 8, 2024
FIRST HORIZON ADVISORS, INC.
July 17, 2012 - July 15, 2015
TRUIST INVESTMENT SERVICES, INC.
December 13, 2010 - April 1, 2011
CARTY, HARDING & HEARN, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
What does exam status mean?
Series 7TO
Passed: 11/3/2021
General Securities Representative ExaminationCurrent Firm
FIRST HORIZON ADVISORS, INC.
CRD#: 17117 / SEC#: 801-78594, 8-35061
Contact information
Regulatory assets under management
| Total Number of Accounts | 9,076 |
| AUM (Assets Under Management) | $ 13,617,534,771 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/15/2025 | ||
| 08/16/2024 | ||
| 12/21/2023 |
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.
