William Neilson Wheeler

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2013-11-12

CA RA
APPROVED

Since 2013-11-12

Branch Locations

Goodyear, AZ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Los Alamitos	CA	10/1993	Present

10/1993 → Present

Lpl Financial Llc

Los Alamitos, CA

Previous Registrations

1997-12-31 → 2013-10-30

Lpl Financial Llc

Denton, TX

Newport Beach, CA

Other Businesses

1. 6/8/1999 - OTHER-CONSULTING - COMPUTER PROGRAMMER CONSULTANT - TIME SPENT 25%. 2. 12/11/2008 - NON-VARIABLE INSURANCE DBA - WILLIAM N. WHEELER, CFP - SELL FIXED LIFE INSURANCE. - LOS ALAMITOS, CA. 3. 1/26/2015: TAX PREP/ACCOUNTING/CPA - BOOK KEEPING AND SIMPLE ACCOUNTING. - INVESTMENT RELATED - 40 HOURS PER MONTH/0 HOURS DURING TRADING - LOS ALAMITOS, CA.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1999-10-29

S63 Uniform Securities Agent State Law Examination

1999-10-29

View on SEC IAPD