Jeffrey W. Whynot
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey William Whynot was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1993. Jeffrey had worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2019 - June 29, 2020
USAA INVESTMENT SERVICES COMPANY
April 22, 2019 - June 18, 2020
USAA FINANCIAL ADVISORS, INC.
May 14, 2015 - March 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 14, 2015 - March 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 2014 - April 1, 2015
SCOTTRADE, INC.
September 28, 2010 - March 24, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 2010 - March 24, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 7, 2008 - September 15, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
June 27, 2008 - September 15, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
March 31, 2008 - July 2, 2008
NATIONAL PLANNING CORPORATION
February 29, 2008 - July 2, 2008
NATIONAL PLANNING CORPORATION
June 25, 2007 - March 3, 2008
COMMONWEALTH FINANCIAL NETWORK
June 12, 2007 - March 3, 2008
COMMONWEALTH FINANCIAL NETWORK
February 6, 2006 - June 11, 2007
CUE FINANCIAL GROUP, INC.
February 6, 2006 - June 11, 2007
CUE FINANCIAL GROUP, INC.
October 24, 2005 - February 7, 2006
CETERA WEALTH SERVICES, LLC
April 13, 2004 - February 7, 2006
CETERA WEALTH SERVICES, LLC
July 5, 2002 - April 2, 2004
IFMG SECURITIES, INC.
May 18, 2000 - January 8, 2002
CCBT BROKERAGE DIRECT, INC.
November 25, 1998 - May 10, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 1994 - November 9, 1998
BANKBOSTON INVESTOR SERVICES, INC.
May 24, 1993 - November 8, 1994
SEI INVESTMENTS DISTRIBUTION CO.
January 19, 1993 - May 11, 1993
USAFFINITY INVESTMENTS LIMITED PARTNERSHIP
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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