Richard E. Whitley
Professional summary
Richard Eugene Whitley was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial advisor and started their career in finance in 1982. Prior to being barred, Richard had worked at 7 firms, which includes AVANTAX ADVISORY SERVICES, AVANTAX INVESTMENT SERVICES INC., WACHOVIA SECURITIES INC., LEGG MASON WOOD WALKER INCORPORATED, THE PINNACLE GROUP INC., INDEPENDENCE SECURITIES INC., EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 31, 2001 - December 13, 2004
AVANTAX ADVISORY SERVICES
July 17, 1992 - August 1, 2014
AVANTAX INVESTMENT SERVICES, INC.
July 16, 1991 - July 27, 1992
WACHOVIA SECURITIES, INC.
September 22, 1988 - September 20, 1989
LEGG MASON WOOD WALKER, INCORPORATED
October 7, 1987 - August 29, 1988
THE PINNACLE GROUP, INC.
October 1, 1985 - August 5, 1987
INDEPENDENCE SECURITIES, INC.
March 2, 1982 - October 7, 1985
EDWARD JONES
State Registrations and Notice Filings
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Exams
Series 8
Date: 5/24/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
Red Flags
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