JW
John R. Whittington
LIVE OAK WEALTH ADVISORY GROUP
Houston, TX 77030
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CRD#: 1098629
JW
Professional summary
John Robert Whittington is a registered financial advisor currently at LIVE OAK WEALTH ADVISORY GROUP, LLC located in Houston, Texas.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. John has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view John Robert Whittington's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 11, 2021 - Present
LIVE OAK WEALTH ADVISORY GROUP, LLC
Office #1: 3730 Kirby Drive Suite 1200, Houston, TX 77030RIA
CRD#: 154962
Houston, TX
Past
October 25, 1993 - June 14, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HOUSTON, TX
Past
October 25, 1993 - June 14, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HOUSTON, TX
Past
March 1, 1983 - October 20, 1993
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LO
LIVE OAK WEALTH ADVISORY GROUP, LLC
DESIGNS CREATED BY MICHELLE, LLC | VANN EQUITY MANAGEMENT | RUSHMORE INVESTMENT ADVISERS | LIVE OAK WEALTH ADVISORY GROUP, LLC | JOBES SOLO INVESTMENT GROUP, LLC | JOBES SOLO INVESTMENT GROUP | DESIGNS OF FORT BEND, LLC
CRD#: 154962 / SEC#: 801-122404
RIA
Registered Investment Advisory firm - (9/27/2021 Approved)Louisiana
Registered Investment Advisory firm - (10/5/2021 Terminated)New Mexico
Registered Investment Advisory firm - (10/1/2021 Terminated)Texas
Registered Investment Advisory firm - (10/1/2021 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Louisiana(6/14/2021)
IAR
Texas(6/11/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/21/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LO
LIVE OAK WEALTH ADVISORY GROUP, LLC
DESIGNS CREATED BY MICHELLE, LLC | VANN EQUITY MANAGEMENT | RUSHMORE INVESTMENT ADVISERS | LIVE OAK WEALTH ADVISORY GROUP, LLC | JOBES SOLO INVESTMENT GROUP, LLC | JOBES SOLO INVESTMENT GROUP | DESIGNS OF FORT BEND, LLC
CRD#: 154962 / SEC#: 801-122404
RIA
Registered Investment Advisory firm - (9/27/2021 Approved)Louisiana
Registered Investment Advisory firm - (10/5/2021 Terminated)New Mexico
Registered Investment Advisory firm - (10/1/2021 Terminated)Texas
Registered Investment Advisory firm - (10/1/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3730 Kirby Drive Suite 1200, Houston, TX 77030
Mailing Address
Phone number
(281) 822-9200
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 308 |
| AUM (Assets Under Management) | $ 143,024,276 |
Red Flags
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