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JOHN HUGH WHEELER
CRD#: 5497896
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 6060 POPLAR AVE
MEMPHIS, TN 38119
MEMPHIS, TN 38119
0
Disclosures
16
Years of Experience
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State Registrations
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Alabama 11/19/2015
B
Missouri 6/24/2013
B
Arkansas 6/30/2011
B
North Carolina 9/11/2018
B
California 9/12/2013
B
Ohio 10/7/2020
B
Colorado 6/30/2011
B
Pennsylvania 5/15/2015
B
Delaware 3/15/2022
B
South Carolina 12/19/2019
B
Florida 6/30/2011
B
Tennessee 6/30/2011
B
Georgia 7/22/2019
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Tennessee 6/30/2011
B
Idaho 4/15/2014
B
Texas 6/30/2011
B
Kansas 5/13/2015
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Texas 7/5/2011
B
Louisiana 7/25/2024
B
Virginia 2/6/2019
B
Maryland 1/6/2022
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Wisconsin 3/22/2024
B
Minnesota 11/7/2023
B
Wyoming 12/22/2022
B
Mississippi 6/30/2011
SRO Registrations
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Registered with this firm since 6/30/2011
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Registered with this firm since 6/30/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 08/05/2011 | MEMPHIS, TN | |
B | 06/01/2009 - 08/05/2011 | MEMPHIS, TN | |
IA | 05/21/2008 - 06/01/2009 | MEMPHIS, TN | |
B | 04/29/2008 - 06/01/2009 | MEMPHIS, TN |
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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.
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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.