Eddie W. Whitfield
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.
Eddie Wayne Whitfield, who also goes by Ed Whitfield, Eddie Whitfield, was a registered financial professional .
Eddie is a previously registered financial professional and started their career in finance in 1990. Eddie had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52, Series 4, Series 24, Series 27 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2017 - July 7, 2021
AVANTAX ADVISORY SERVICES
December 13, 2017 - July 7, 2021
AVANTAX INVESTMENT SERVICES, INC.
May 5, 2010 - December 13, 2017
INVEST FINANCIAL CORPORATION
May 3, 2010 - December 13, 2017
INVEST FINANCIAL CORPORATION
April 13, 2009 - December 31, 2009
J. W. COLE ADVISORS, INC.
April 9, 2009 - March 30, 2010
J.W. COLE FINANCIAL, INC.
March 19, 2008 - February 3, 2009
EDWARD JONES
April 4, 2006 - February 3, 2009
EDWARD JONES
July 19, 2004 - May 18, 2006
CROW FINANCIAL ADVISORS
July 13, 2004 - February 1, 2005
FIRST LEGACY SECURITIES, LLC
March 13, 2003 - July 27, 2004
LPL FINANCIAL LLC
October 26, 2001 - July 27, 2004
LPL FINANCIAL LLC
August 30, 1999 - April 13, 2001
PFIC SECURITIES CORPORATION
August 12, 1998 - August 19, 1999
CONSECO SECURITIES, INC.
August 14, 1995 - November 9, 1998
TRANS FINANCIAL INVESTMENT SERVICES, INC.
July 27, 1994 - May 5, 1995
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
February 8, 1990 - July 29, 1994
BARNETT INVESTMENTS, INC.
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
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
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.
