Charles H. Wheatley
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.
Charles Haywood Wheatley, who also goes by Charles Haywood Wheatley III, Charles Haywood Wheatley, Charles Wheatley, Charlie Haywood Wheatley III, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2017. Charles had worked at 6 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2023 - December 8, 2025
DRIVEWEALTH, LLC
October 23, 2022 - May 25, 2023
BOFA SECURITIES, INC.
December 6, 2021 - August 29, 2022
HOULIHAN LOKEY CAPITAL, INC.
December 2, 2020 - August 29, 2022
HOULIHAN LOKEY ADVISORS, LLC
April 23, 2018 - November 12, 2020
NOMURA SECURITIES INTERNATIONAL, INC.
June 5, 2017 - June 19, 2018
INTE SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DRIVEWEALTH, LLC
CRD#: 165429 / SEC#: , 8-69161
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRIVEWEALTH HOLDINGS, INC. | SOLE MEMBER | |
| BLANGIARDO, ALESSIO | FINANCIAL & OPERATIONS PRINCIPAL | 5600541 |
| ILARIO, ANTHONY | COO | 2262100 |
| LAMKE, JAMES DANIEL | CHIEF COMPLIANCE OFFICER | 1418047 |
| METZGER, BARRY SCOTT | CHIEF EXECUTIVE OFFICER | 4719211 |
| POND, ERIC | ROSFP | 6069469 |
| QUINONES, VINCENT JOSEPH | HEAD OF EXECUTION SERVICES | 4308610 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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