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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Robert Wheatley is a financial advisor with over 25 years of experience. David has been registered with the Securities and Exchange Commission (SEC) since 1993 and has a strong track record of providing financial advice to individuals, families, and businesses. David currently works as a Senior Wealth Management Advisor for Newedge Advisors. Before joining Newedge, David worked at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC, Woodbury Financial Services, INC., HSBC Securities (USA) INC., HSBC Brokerage (USA) INC., AXA Advisors, LLC and THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES. David is also a licensed Real Estate Owner & Manager with experience in residential rental real estate.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
LA
10/07/2021 - Present
Newedge Advisors (NEW ORLEANS LA)
CT
04/10/2013 - 09/08/2021
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (HAMDEN CT)
CT
11/28/2007 - 06/15/2010
WOODBURY FINANCIAL SERVICES, INC. (TRUMBULL CT)
NY
01/01/2005 - 11/19/2007
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
10/02/2001 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NY
04/08/1993 - 10/29/2001
AXA ADVISORS, LLC (NEW YORK NY)
NY
04/08/1993 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
BOTH
Issued 03/04/2013
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/29/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/07/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/15/2000
Series 24 - General Securities Principal Examination
BC
Issued 04/12/1996
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/09/2013
Series 7 - General Securities Representative Examination
BC
Issued 04/07/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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