Individual Firm
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TERRY DEAN WHEELER
CRD#: 2163092
IA
B
WE ALLIANCE WEALTH ADVISORS, INC.CRD#: 175405 3001 DOUGLAS BLVD
STE. 142
ROSEVILLE, CA 95661
STE. 142
ROSEVILLE, CA 95661
View By:
10/21/2022
Customer Dispute
Settled
State Registrations
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Arizona 6/4/2024
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Texas 2/8/2019
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California 7/20/2015
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Washington 2/9/2024
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Registered with this firm since 7/20/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/01/2016 - 11/01/2018 | Roseville, CA | |
B | 06/07/2011 - 11/01/2018 | Roseville, CA | |
IA | 07/18/2012 - 12/31/2015 | Roseville, CA | |
IA | 02/11/2011 - 07/18/2012 | SACRAMENTO, CA | |
B | 02/10/2011 - 07/18/2012 | SACRAMENTO, CA | |
IA | 07/07/2011 - 05/11/2012 | Roseville, CA | |
IA | 08/07/2009 - 02/11/2011 | SACRAMENTO, CA | |
B | 08/07/2009 - 02/11/2011 | SACRAMENTO, CA | |
IA | 02/09/2001 - 08/19/2009 | SACRAMENTO, CA | |
B | 10/19/2000 - 08/19/2009 | SACRAMENTO, CA | |
B | 04/27/1995 - 11/02/2000 | LYNNFIELD, MA | |
B | 04/08/1992 - 07/08/1993 | PURCHASE, NY | |
B | 08/22/1991 - 04/09/1992 | PURCHASE, NY |
SACRAMENTO, CA
02/11/2011 - 07/18/2012
SACRAMENTO, CA
08/07/2009 - 02/11/2011
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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.