Individual Firm
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DENIS RICHARD WHEATLEY
DENNIS RICHARD WHEATLEY
CRD#: 1157887
IA
B
TREK FINANCIALCRD#: 109376 4737 Stonehedge Drive
Santa Rosa, CA 95405
Santa Rosa, CA 95405
0
Disclosures
41
Years of Experience
View By:
State Registrations
IA
California 3/31/2016
IA
Registered with this firm since 3/31/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/08/2016 - 08/01/2017 | Santa Rosa, CA | |
IA | 10/31/2006 - 12/31/2016 | SANTA ROSA, CA | |
IA | 01/16/2015 - 08/23/2016 | SANTA ROSA, CA | |
B | 04/13/2012 - 04/04/2016 | SANTA ROSA, CA | |
B | 02/07/1999 - 04/18/2012 | SANTA ROSA, CA | |
B | 01/01/1994 - 12/31/1998 | NEWARK, NJ | |
B | 03/10/1993 - 12/31/1993 | NEW YORK, NY | |
B | 11/29/1983 - 03/02/1993 | DES MOINES, IA | |
B | 06/30/1986 - 10/14/1989 | SAN FRANCISCO, CA | |
B | 08/13/1985 - 05/05/1986 | ||
B | 08/08/1983 - 06/29/1984 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.