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Denis Richard Wheatley

Trek Financial

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About Denis Richard Wheatley

Denis Wheatley is an Investment Advisor Representative with Trek Financial. Denis has been working in the financial services industry since 1983. Denis has a variety of experience in the financial services industry and is licensed in California. Prior to joining Trek Financial, Denis worked at World Equity Group, Inc., FSC Securities Corporation, and Lincoln Financial Securities Corporation. Denis specializes in Financial Planning, Pension Consulting, Educational Seminars, Selection of Other Advisers, and Portfolio Management for Individuals.

Firm Information

Denis Wheatley is currently registered with Trek Financial. Trek Financial, headquartered in Scottsdale, Arizona, is an independent financial advisory firm serving a diverse clientele, including individuals, families, businesses, non-profits, and retirement plans. With over 51 licensed agents and 3 investment advisor representatives, Trek Financial provides a comprehensive range of financial services, including financial planning, pension consulting, portfolio management, educational seminars, and selection of other advisors. The firm manages over $2.2 billion in assets for its clients, and has a strong focus on providing personalized financial guidance and wealth management solutions.
Trek Financial

8355 EAST HARTFORD DRIVE

SCOTTSDALE, AZ 85255

$2.26B

Assets Under Management

Not reported

Total Clients

62

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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consulting

Consulting

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Denis Wheatley’s Registration & Firm History

CA

03/31/2016 - Present

Trek Financial (Santa Rosa CA)

CA

04/08/2016 - 08/01/2017

WORLD EQUITY GROUP, INC. (Santa Rosa CA)

CA

04/13/2012 - 04/04/2016

FSC SECURITIES CORPORATION (SANTA ROSA CA)

CA

02/07/1999 - 04/18/2012

LINCOLN FINANCIAL SECURITIES CORPORATION (SANTA ROSA CA)

NJ

01/01/1994 - 12/31/1998

FIRST PRIORITY INVESTMENT CORPORATION (NEWARK NJ)

NY

03/10/1993 - 12/31/1993

FAHNESTOCK & CO., INC. (NEW YORK NY)

IA

11/29/1983 - 03/02/1993

PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)

CA

06/30/1986 - 10/14/1989

WELLINGTON SECURITIES, INC. (SAN FRANCISCO CA)

NA

08/13/1985 - 05/05/1986

BRETCOURT SECURITIES CORPORATION

NA

08/08/1983 - 06/29/1984

BRETCOURT SECURITIES CORPORATION

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Licenses & Designations

BC

Issued 05/26/2011

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 02/10/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/01/2017

SIE - Securities Industry Essentials Examination

BC

Issued 09/29/1983

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 08/05/1983

Series 22 - Direct Participation Programs Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Denis Richard Wheatley.
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