Cody O. Wheeler

PLAN GROUP FINANCIAL

OKLAHOMA CITY, OK 73114

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CRD#: 7216720

Professional summary

Cody Owen Wheeler is a registered financial advisor currently at PLAN GROUP FINANCIAL, INC. located in Oklahoma City, Oklahoma and PRIVATE CLIENT SERVICES, LLC located in Oklahoma City, Oklahoma.

Cody is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Cody has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) Plan Group Financial. 6 NE 63rd St, Suite 240, Oklahoma City, OK 73105. RIA. Director of Operations. 150 hrs/mo; 150 during trading hrs. 2) Private Client Services. 6 NE 63rd St, Suite 240, Oklahoma City, OK 73105. Client Relations Manager. 40hrs/mo

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cody Owen Wheeler's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 12, 2023 - Present

PLAN GROUP FINANCIAL, INC.

Office #1: 101 N.e. 82nd Street Suite 200, Oklahoma City, OK 73114

RIA

CRD#: 116508

OKLAHOMA CITY, OK

Current

November 3, 2023 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 101 Ne 82nd Street Ste 200, Oklahoma City, OK 73114

RIA

CRD#: 120222

Oklahoma City, OK

Past

May 9, 2022 - December 31, 2022

PLAN GROUP FINANCIAL, INC.

RIA

CRD#: 116508

OKLAHOMA CITY, OK

Past

February 4, 2020 - November 16, 2023

SAXONY SECURITIES, INC.

CRD#: 115547

Oklahoma City, OK

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".

PLAN GROUP FINANCIAL, INC.

CRD#: 116508 / SEC#: 801-118599

RIA

Registered Investment Advisory firm - (4/30/2020 Approved)

Oklahoma

Registered Investment Advisory firm - (6/10/2020 Terminated)

Texas

Registered Investment Advisory firm - (6/10/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

Nebraska
(1/25/2023)

IAR

Oklahoma
(1/12/2023)

Oklahoma
(11/3/2023)

IAR

Texas
(1/12/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/21/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/4/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/14/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

PLAN GROUP FINANCIAL, INC.

CRD#: 116508 / SEC#: 801-118599

RIA

Registered Investment Advisory firm - (4/30/2020 Approved)

Oklahoma

Registered Investment Advisory firm - (6/10/2020 Terminated)

Texas

Registered Investment Advisory firm - (6/10/2020 Terminated)

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Contact information

Main Address

101 N.e. 82nd Street Suite 200, Oklahoma City, OK 73114

Mailing Address

Phone number

(405) 848-1099

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	2,693
AUM (Assets Under Management)	$ 541,410,125

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.

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Cody O. Wheeler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cody Owen Wheeler's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

PLAN GROUP FINANCIAL, INC.

SAXONY SECURITIES, INC.

Primary Firm SEC Registration

PLAN GROUP FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/21/2021

Series 7TO

Date: 2/4/2020

SIE

Date: 3/14/2019

FINRA

Current Firm

PLAN GROUP FINANCIAL, INC.

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PLAN GROUP FINANCIAL, INC.

TRUST BUT VERIFY

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