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Detailed Report
CYNTHIA LYNN WHEELER
CYNTHIA LYNN GALLAWAY
CRD#: 4740593
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 30 S WACKER DR 39TH FL
CHICAGO, IL 60606
Registration History
200420062008201020122014201620182020202220242026IAWELLS FARGO ADVISORS (CRD# 19616)2017 - Present (8 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2016 - Present (9 years)BCREDIT SUISSE SECURITIES (USA) LLC (CRD# 816)2014 - 2016 (2 years)BOPPENHEIMER & CO. INC. (CRD# 249)2009 - 2014 (4 years)BCREDIT SUISSE SECURITIES (USA) LLC (CRD# 816)2004 - 2009 (5 years)
License(s)

State Registrations

B
Arizona 2/4/2016
B
Missouri 2/4/2016
B
California 2/4/2016
B
Montana 11/15/2024
B
Colorado 2/4/2016
B
Nevada 2/4/2016
B
Connecticut 2/4/2016
B
New York 2/4/2016
B
Florida 2/4/2016
B
North Carolina 2/4/2016
B
Georgia 2/4/2016
B
Ohio 2/4/2016
B
Illinois 2/4/2016
B
Rhode Island 11/8/2022
IA
Illinois 3/16/2017
B
South Carolina 2/4/2016
B
Indiana 2/4/2016
B
Texas 2/4/2016
B
Iowa 2/4/2016
B
Virginia 2/4/2016
B
Kansas 2/4/2016
B
West Virginia 2/4/2016
B
Michigan 2/4/2016
B
Wisconsin 2/4/2016
B
Minnesota 2/4/2016
B
Wyoming 2/4/2016

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
30 S WACKER DR 39TH FL, CHICAGO, IL 60606
Registered with this firm since 3/16/2017
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
30 S WACKER DR 39TH FL, CHICAGO, IL 60606
Registered with this firm since 2/4/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 03/25/2014 - 03/02/2016 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) CHICAGO, IL
B
 11/11/2009 - 03/25/2014 OPPENHEIMER & CO. INC. (CRD#:249) CHICAGO, IL
B
 04/09/2004 - 11/27/2009 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.