Theodore H. Wuebben
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.
Theodore Henry Wuebben was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1979. Theodore had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2014 - October 19, 2020
THE LEADERS GROUP, INC.
April 10, 2007 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
August 11, 2006 - December 5, 2006
CETERA INVESTMENT SERVICES LLC
March 16, 1998 - May 10, 2006
FSB PREMIER WEALTH MANAGEMENT, INC.
March 11, 1996 - January 24, 1997
FSB PREMIER WEALTH MANAGEMENT, INC.
May 4, 1993 - February 9, 1996
FIRST LINCOLN INVESTMENTS, INC.
August 14, 1990 - December 31, 1991
FIRST LINCOLN INVESTMENTS, INC.
September 28, 1987 - April 20, 1989
KFS BD, INC.
June 26, 1979 - December 19, 1983
FIRST MID-AMERICA INC.
June 22, 1979 - October 5, 1987
UBS FINANCIAL SERVICES 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
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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