WW
William R. Witherow
THOROUGHBRED FINANCIAL SERVICES
Columbia, TN 38401
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CRD#: 1386117
WW
Professional summary
William Roger Witherow SR, who also goes by Roger Witheron, William Roger Witherow, is a registered financial advisor currently at THOROUGHBRED FINANCIAL SERVICES, LLC located in Columbia, Tennessee.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. William has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roger Witheron | William Roger Witherow
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.
1. ROGER WITHEROW & ASSOC, INC. 2. INVESTMENT RELATED 3. 1517 HATCHER LANE, COLUMBIA, TN 38401. 4. TYPE: INSURANCE BUSINESS GROUP HEALTH/LIFE. 5. PRESIDENT. 6. 1976-PRESENT; 7.40+ HOURS PER MONTH 8.DEVOTE 5-10 HOURS DURING SECURITIES TRADING HOURS. 9. DUTIES INCLUDE SALES AND MANAGEMENT.
1.OFFICE BLDG 2.NOT INVESTMENT RELATED 3. 1517 HATCHER LANE COLUMBIA, TN 38401 4. REAL ESTATE 5. OWNER 6. 1985 TO PRESENT 7. 2/HRS MONTH 8. NO HOURS DURING TRADING 9. GENERAL MANAGEMENT DUTIES
1.WITHEROW,WHITE,DANIEL 2. NOT INVESTMENT RELATED 3. PO 375, COLUMBIA, TN 38402 4. REAL ESTATE PARTNERSHIP 5. PARTNER 6. 1994 TO PRESENT 7. 2 HOURS/MONTH 8. "0" HOURS TRADING 9. PARTNER
1.OLIVE & SINCLAIR CHOCOLATE 2.NOT INVESTMENT RELATED 3. 1404 MCGAVOCK PIKE, NASH, TN 37216 4. CHOCOLATE MANUFACTURING/DIST 5. MEMBER 6. 2009 TO PRESENT 7. 10-15 8. "0" HOURS TRADING 9. MANAGEMENT/PARTNER.
1.INFO ARMOR PLUS 2.NOT INVESTMENT RELATED 3. 1517 HATCHER LANE, COLUMBIA TN 38401 4.CYBERSECURITY MONITORING 5. AGENT 6. 2019-PRESENT 7. 4 8. 0 9. SELL PLANS AS EMPLOYEE BENEFIT
CRS (Client Relationship Summary) - RIA
Click below to view William Roger Witherow SR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Roger Witherow SR'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
January 7, 2004 - Present
THOROUGHBRED FINANCIAL SERVICES, LLC
Office #1: 1517 Hatcher Lane, Columbia, TN 38401RIA
BD
CRD#: 47893
Columbia, TN
Current
April 1, 2000 - Present
THOROUGHBRED FINANCIAL SERVICES, LLC
Office #1: 1517 Hatcher Lane, Columbia, TN 38401RIA
BD
CRD#: 47893
Columbia, TN
Past
June 28, 2000 - December 21, 2000
ADVANCED FINANCIAL PLANNING SECURITIES CORPORATION
BD
CRD#: 17472
BRENTWOOD, TN
Past
June 2, 1997 - April 1, 2000
ADVANCED FINANCIAL PLANNING SECURITIES CORPORATION
BD
CRD#: 17472
BRENTWOOD, TN
Past
November 28, 1990 - May 28, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
November 28, 1990 - May 28, 1997
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
January 30, 1987 - May 1, 1990
TAYLOR SECURITIES, INC.
BD
CRD#: 17575
BRENTWOOD, TN
Past
November 1, 1985 - February 11, 1987
FSC SECURITIES CORPORATION
BD
CRD#: 7461
Past
July 24, 1985 - November 8, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
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".
TF
THOROUGHBRED FINANCIAL SERVICES, LLC
THOROUGHBRED FINANCIAL SERVICES, LLC
CRD#: 47893 / SEC#: 801-56741, 8-51944
RIA
Registered Investment Advisory firm - SEC (8/13/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/1/2000)
RR
Florida(11/7/2000)
RR
Georgia(1/4/2016)
RR
North Carolina(5/9/2019)
RR
Oklahoma(6/23/2008)
RR
Tennessee(4/1/2000)
IAR
Tennessee(1/7/2004)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
THOROUGHBRED FINANCIAL SERVICES, LLC
THOROUGHBRED FINANCIAL SERVICES, LLC
CRD#: 47893 / SEC#: 801-56741, 8-51944
RIA
Registered Investment Advisory firm - SEC (8/13/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
5110 Maryland Way Suite 300, Brentwood, TN 37027-7508
Mailing Address
5110 Maryland Way Suite 300, Brentwood, TN 37027
Phone number
(615) 371-0001
Established
Tennessee since 06/24/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
34
SEC notice filing (22 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PARKER FAMILY TRUST | MEMBER | |
| ATKINS, JOHN SEXTON | MEMBER | 709695 |
| HARTLEY, LAWRENCE RANDALL | MEMBER | 1235172 |
| PARKER, PATRICK GIBBONS | MEMBER | 709713 |
| STEELE, BARRY GENE | MEMBER | 1000525 |
| WEDDINGTON, WILLIAM ALLEN | MEMBER | 709720 |
| HERNDON, JACK CLARK JR | EXECUTIVE V.P. SECURITIES | 1286530 |
| KELLY, DANIEL JAMES | V.P. OPERATIONS - CCO, CFO | 2378762 |
| PARKER, SUSAN SWEENEY | TRUSTEE OF PARKER FAMILY TRUST | 3265529 |
| PARKER, THOMAS JENKINS | PRESIDENT, CEO | 356789 |
Regulatory assets under management
| Total Number of Accounts | 6,789 |
| AUM (Assets Under Management) | $ 3,409,535,678 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
