WG
WG
Wiley Gardner
42 Years of Experience
Mandeville, LA
3 DisclosuresBroker
Wiley Gardner is a registered investment advisor at Raymond James & Associates, INC., based in Mandeville, LA, with 42 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
Loading...
Location
1540 W Causeway Approach, Mandeville, LA, 70471
Get directionsHistory
Regulatory History (3)
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
February 2010Settled
Customer Dispute
March 1999Denied
Customer Dispute
December 1989Award / Judgment
Other Business Activities
Wiley manages an LLC owned by his Roth IRA, investing capital contributions in alternative assets. Wiley also owns and manages rental real estate, dedicating minimal time to both activities.
Employment History
Current Registrations
Raymond James & Associates, INC.
May 2015 - Present · 11 yrs
Raymond James & Associates, INC.Broker
March 2015 - Present · 11 yrs 2 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2006 - March 2015 · 9 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 2006 - March 2015 · 9 yrs 1 mo
Citigroup Global Markets INC.Broker
July 1993 - March 2006 · 12 yrs 8 mos
Lehman Brothers INC.Broker
February 1988 - July 1993 · 5 yrs 5 mos
E. F. Hutton & Company INCBroker
August 1986 - February 1988 · 1 yr 6 mos
Dean Witter Reynolds INC.Broker
September 1983 - August 1986 · 2 yrs 11 mos
State Registrations25 states
ALARCACOCTFLGAILKYLAMDMIMOMSNCNJNYOKORPASCTNTXVAWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.