Walter F. Whitnum
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.
Walter Frederick Whitnum, who also goes by Walter Fredrick Whitnum, Walter Whitnum, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1989. Walter had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, Series 6TO, Series 99TO, SIE, Series 6, Series 7, Series 62 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
December 15, 2015 - October 5, 2021
FIRST COMMAND ADVISORY SERVICES
September 16, 2008 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
June 10, 2008 - October 5, 2021
FIRST COMMAND BROKERAGE SERVICES, INC.
January 19, 2007 - January 29, 2007
ARJENT LTD.
October 25, 2002 - October 22, 2004
MAXIM GROUP LLC
October 30, 2001 - October 1, 2002
ARISTATRADE SECURITIES, LLC
July 27, 1999 - September 17, 2001
CANTELLA & CO., INC.
January 4, 1999 - July 9, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 13, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
September 7, 1989 - February 3, 1998
ROYCE INVESTMENT GROUP, INC.
Primary Firm SEC Registration
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
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
Series 7TO
Date: 11/20/2023
General Securities Representative ExaminationSeries 6TO
Date: 11/20/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 11/20/2023
Operations Professional ExaminationSeries 62
Date: 8/30/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110,166 |
| AUM (Assets Under Management) | $ 22,090,760,499 |
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.
