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DW

Douglas R. Whittle

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CRD#: 2190231
DW
Douglas Roger Whittle

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.

Douglas Roger Whittle was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1991. Douglas had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Aliases

None

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)07/23/2018 - DBA for LPL Business (entity for LPL business) - Financial Advocates - 100% - INVESTMENT RELATED - OLYMPIA, WASHINGTON 98502 2) 7/25/2018 - Financial Advocates Investment Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Licensed Admin. - Start Date: 03/07/2018 - 160 Hours Per Month/40 Hours During Securities Trading - Time Spent 100% - I provide administrative support to Financial Advocates Investment Management, an independent investment advisor firm. I started this business activity in 7/2018. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 05/30/2019 - Financial Advocates Wealth Management - Investment related - At reported business location(s) - Registered Investment Advisor - Chief Compliance Officer - start date:06/10/2019 - 10 hrs/mo - 1 hr during trading - I provide investment advisory services through Financial Advocates Wealth Management., an independent investment advisor firm. I started this business activity in June 2019. I expect to spend approximately 10 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 23, 2019 - August 17, 2023

FINANCIAL ADVOCATES ADVISORY SERVICES

RIA
CRD#: 147786
OLYMPIA, WA
Past

August 22, 2018 - March 10, 2026

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

RIA
CRD#: 151298
OLYMPIA, WA
Past

July 23, 2018 - August 6, 2026

LPL FINANCIAL LLC

BD
CRD#: 6413
CHEHALIS, WA
Past

August 1, 2007 - April 4, 2008

RUSSELL INSTITUTIONAL SERVICES INC., PART OF RUSSELL INVESTMENTS

BD
CRD#: 37550
TACOMA, WA
Past

August 26, 2005 - May 5, 2017

RUSSELL INVESTMENTS

RIA
CRD#: 105734
SEATTLE, WA
Past

May 24, 2005 - May 5, 2017

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
SEATTLE, WA
Past

July 28, 1993 - November 22, 1994

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
Past

May 15, 1992 - June 22, 1993

DREYFUS BROKERAGE SERVICES, INC.

BD
CRD#: 7289
Past

November 25, 1991 - January 14, 1992

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714

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
IAR
Series 66
Date: 8/8/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/27/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/23/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/7/2005
General Securities Principal Examination

Current Firm

FA
FINANCIAL ADVOCATES ADVISORY SERVICES
BRUNDIGE WEALTH MANAGEMENT | TRUE RETIREMENT | QPS FINANCIAL | LAURUS WEALTH MANAGEMENT | IMPACT BENEFITS & RETIREMENT | IMPACT | HEESTAND COMPANY | FINANCIAL ADVOCATES ADVISORY SERVICES, LLC | FINANCIAL ADVOCATES ADVISORY SERVICES | CHANNEL FINANCIAL

CRD#: 147786 / SEC#: 801-110695

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Contact information

Main Address
1601 Cooper Point Rd Nw, Olympia, WA 98502
Mailing Address
Phone number
(360) 866-2345
Established
Firm type
Fiscal year end
# of Employees
8

Documents

Latest Form ADV

Part 2 Brochures

FAAS FIRM BROCHURE ANNUAL 3 2023 (3/31/2023)

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

FINANCIAL ADVOCATES ADVISORY SERVICES

CRD#: 147786

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