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HW

Harry J. Whitton

DV EQUITIES
Chicago, IL 60605
Some features on this profile are disabled
CRD#: 2145510
HW

Professional summary

Harry Joseph Whitton, who also goes by Harry Joseph Whitton III, is a registered financial professional currently at DV EQUITIES located in Chicago, Illinois.

Harry is registered as a RR (Registered Representative) and started their career in finance in 1991. Harry has worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Harry Joseph Whitton Iii

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Harry Joseph Whitton'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®
None

Experience

Current

March 11, 2026 - Present

DV EQUITIES

Office #1: 425 S. Financial Place Suite 2800, Chicago, IL 60605
BD
CRD#: 312688
Chicago, IL
Past

September 16, 2019 - July 11, 2024

OLD MISSION MARKETS LLC

BD
CRD#: 281867
New York, NY
Past

January 27, 2014 - June 7, 2018

VIRTU AMERICAS LLC

BD
CRD#: 149823
New York, NY
Past

October 21, 2009 - January 27, 2014

GOLDMAN SACHS CUSTODY SOLUTIONS

BD
CRD#: 48015
MCLEAN, VA
Past

January 7, 2009 - May 1, 2009

XSHARES SECURITIES LLC

BD
CRD#: 141534
NEW YORK, NY
Past

December 1, 2006 - December 31, 2008

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
NEW YORK, NY
Past

March 22, 2004 - August 15, 2006

ALLIANZ LIFE FINANCIAL SERVICES, LLC

BD
CRD#: 612
MINNEAPOLIS, MN
Past

January 7, 2000 - October 17, 2003

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

July 15, 1999 - December 7, 1999

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

August 30, 1997 - July 15, 1999

KEYPORT FINANCIAL SERVICES CORP.

BD
CRD#: 8127
WELLESLEY HILLS, MA
Past

June 3, 1991 - February 12, 1997

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/15/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 6/7/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/15/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/31/1991
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

DE
DV EQUITIES
DV EQUITIES | DV SECURITIES II, LLC | DV EQUITIES, LLC

CRD#: 312688 / SEC#: , 8-70659

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 S. Financial Place Suite 2800, Chicago, IL 60605
Mailing Address
425 S. Financial Place Suite 2800, Chicago, IL 60605
Phone number
(312) 837-0649
Established
Delaware since 12/09/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DV GROUP, LLCMEMBER
CARLINO, ERIC JAMESDIRECTOR OF FIXED INCOME/TRADING PRINCIPAL2898311
HORGAN, RICHARD JOHNCHIEF FINANCIAL OFFICER6697860
KATZ, SHIFRACHIEF COMPLIANCE OFFICER7166902

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.

Company Information

DV EQUITIES

CRD#: 312688Chicago, IL 60605

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