Robert C. Whatley
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.
Robert Christopher Whatley was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 11 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2015 - November 3, 2015
SAINT FRANCIS CAPITAL
October 25, 2011 - January 22, 2013
PURSHE KAPLAN STERLING INVESTMENTS
June 6, 2011 - January 24, 2013
PKS ADVISORY SERVICES, LLC
May 17, 2002 - October 2, 2003
STERNE, AGEE & LEACH, INC.
March 15, 2001 - April 12, 2002
RAYMOND JAMES & ASSOCIATES, INC.
April 12, 2000 - March 5, 2001
FIDELITY NATIONAL CAPITAL INVESTORS, INC.
October 21, 1999 - October 29, 1999
A. G. EDWARDS & SONS, INC.
July 8, 1999 - September 2, 1999
D.E. FREY & COMPANY, INC.
December 12, 1997 - July 1, 1999
CAPTRUST FINANCIAL ADVISORS, LLC
July 31, 1989 - December 15, 1997
WACHOVIA SECURITIES, INC.
December 26, 1986 - August 5, 1989
EDWARD JONES
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
SAINT FRANCIS CAPITAL
CRD#: 165376 / SEC#: 801-78095
Contact information
Regulatory assets under management
| Total Number of Accounts | 174 |
| AUM (Assets Under Management) | $ 37,553,684 |
Red Flags
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