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Wesley Marion Oler

Other Names: Wesley Marion Oler IV, Wesley Oler
Firm:
LPL Financial LLC
Type: Dual Registration
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Description

Wesley Oler a financial professional at LPL Financial LLC, a broker-dealer with over 15,900 registered representatives nationwide. Wesley has held an industry securities registration for 4 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Wesley Marion Oler has not answered any questions on Financial Q&A.

Top Guides

Wesley Marion Oler has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
LPL Financial LLC 2 years, 6 months Nov 2010 - Present
Nrp Financial, Inc. 3 years, 6 months Nov 2009 - Present
Nrp Advisors, Inc. 3 years, 6 months Nov 2009 - Present
Credit Suisse Securities (USA) LLC 1 year, 4 months May 2008 - Sep 2009
Brown Brothers Harriman & Co 29 years Dec 1978 - Dec 2007
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/25/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
06/25/2012
09/02/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Combined State Law Examination Series 66 05/27/2003
General Securities Representative Examination Series 7 10/01/2000
General Securities Sales Supervisor Examination (Options Module & GeneralModule) Series 8 10/03/1996
Uniform Securities Agent State Law Examination Series 63 06/16/1995
Interest Rate Options Examination Series 5 06/18/1985

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions