Keith A Wheeler

Current Employers

Employment History

• 11/2008 → 08/2017
  Robert W. Baird
  San Francisco, CA
• 11/2017 → 05/2019
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Santa Rosa, CA
• 02/2018 → 05/2019
  Bank Of America, N.A.
  Santa Rosa, CA
• 07/2019 → 08/2020
  Morgan Stanley
  Santa Rosa, CA
• 07/2019 → 08/2020
  Morgan Stanley Private Bank, N.A.
  New York, NY
• 08/2020 → Present
  Lpl Financial, Llc
  Novato, CA
• 08/2020 → Present
  Alpha Wealth Management And Planning, Llc
  Novato, CA

Previous Registrations

• 2019-07-23 → 2020-08-17
  Morgan Stanley
  Santa Rosa, CA
• 2018-01-11 → 2019-05-17
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Santa Rosa, CA

Other Businesses

1. 8/14/2020 - Alpha Wealth Management and Planning LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 9/9/2020 - Alpha Wealth Management and Planning, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 6/29/2012 - 160 Hours Per Month During Securities Trading - Time Spent 100% - I provide investment advisory services through Alpha Wealth Management and Planning, LLC, an independent investment advisor firm. I started this business activity in 06/2012. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 01/02/2026 - Novato Police K9 Foundation - Non-Profit Board Member - Not Investment Related - Novato, CA - Start Date 03/15/2023 - 2 hours per month

Exams

• S65 Uniform Investment Adviser Law Examination
  2018-01-10
• S63 Uniform Securities Agent State Law Examination
  1987-10-01

Other Names

• Keith Andrew Wheeler
• Keith Wheeler