Richard W. Wheeless

CTL SECURITIES LLC

New York, NY 10175-1799

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CRD#: 832831

Professional summary

Richard Wayne Wheeless is a registered financial professional currently at CTL SECURITIES LLC located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1977. Richard has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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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

May 1, 2013 - Present

CTL SECURITIES LLC

Office #1: 521 Fifth Ave 17th Floor, New York, NY 10175-1799

CRD#: 147369

New York, NY

Past

March 3, 2008 - April 15, 2013

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

ROSELAND, NJ

Past

January 1, 1999 - March 4, 2008

BNY CAPITAL MARKETS INC.

CRD#: 18303

NEW YORK, NY

Past

June 29, 1998 - September 3, 1998

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

September 26, 1978 - March 12, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 5, 1978 - June 29, 1998

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

February 1, 1977 - September 26, 1978

WHITE, WELD & CO. INCORPORATED

CRD#: 6802

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Arizona
(5/1/2013)

California
(5/1/2013)

Colorado
(5/1/2013)

Connecticut
(5/1/2013)

Delaware
(5/1/2013)

District of Columbia
(5/1/2013)

Florida
(5/1/2013)

Georgia
(5/1/2013)

Illinois
(5/1/2013)

Indiana
(5/1/2013)

Kansas
(5/1/2013)

Kentucky
(5/1/2013)

Maryland
(5/1/2013)

Massachusetts
(5/1/2013)

Michigan
(5/1/2013)

Minnesota
(5/1/2013)

New Jersey
(5/1/2013)

New York
(5/1/2013)

North Carolina
(5/1/2013)

Ohio
(5/1/2013)

Oklahoma
(5/1/2013)

Oregon
(5/1/2013)

Pennsylvania
(5/1/2013)

Rhode Island
(5/1/2013)

Utah
(5/1/2013)

Virginia
(5/1/2013)

Washington
(5/1/2013)

Wisconsin
(5/1/2013)

Exams

State Security Law Exam

Series 63

Date: 5/24/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/15/1977

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CTL SECURITIES LLC

CTL SECURITIES LLC | PRC SECURITIES, LLC

CRD#: 147369 / SEC#: , 8-67900

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

521 Fifth Ave 17th Floor, New York, NY 10175-1799

Mailing Address

521 Fifth Ave 17th Floor, New York, NY 10175-1799

Phone number

(212) 792-7884

Established

Delaware since 10/16/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (29 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CTL CAPITAL LLC	OWNER
HELLER, JEFFREY PHILIP	FINOP	3139370
KRAUS, MICHAEL JOSEPH	PRESIDENT	1270274
ZARRILLI, THOMAS PHILIP	CHIEF COMPLIANCE OFFICER	2233576

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Richard W. Wheeless

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Wayne Wheeless's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLEACHER & COMPANY SECURITIES, INC.

BNY CAPITAL MARKETS INC.

UBS SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SBC WARBURG DILLON READ INC.

WHITE, WELD & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 5/24/1999

SIE

Date: 10/1/2018

Series 7

Date: 1/15/1977

FINRA

Current Firm

CTL SECURITIES LLC

Contact information

FINRA licenses (29 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CTL SECURITIES LLC

TRUST BUT VERIFY

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