AW
AW

Albert Howard Wheeler

55 Years of Experience
1 DisclosureBroker
Areas of Practice
Investment Management
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
1299 advisors
Number of Clients
239,256 clients
Average Client Portfolio
$421K average
Assets Under Management
$100.8B

Fee Structure

Minimum Investment:$5K
Loading...

Location

4140 Parklake Avenue, Glenlake One, Suite 300, Raleigh, NC, 27612

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 1998
Award / Judgment
Employment History
Current Registrations
Janney Montgomery Scott LLC
July 2006 - Present · 19 yrs 7 mos
Janney Montgomery Scott LLCBroker
October 1982 - Present · 43 yrs 4 mos
Previous Registrations
Smith Barney, Harris Upham & CO., IncorporatedBroker
June 1975 - October 1982 · 7 yrs 4 mos
Thomson Mckinnon Securities INC.Broker
February 1970 - June 1975 · 5 yrs 4 mos
State Registrations22 states
CACOCTDCDEFLGALAMAMDMEMNNCNHNJNYOHPASCTXVAVT
AdvisorBrokerBoth
Exams
No exam information available for this advisor.