DW
Douglas R. Whittle
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
Olympia, WA 98502
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CRD#: 2190231
DW
Professional summary
Douglas Roger Whittle is a registered financial advisor currently at FINANCIAL ADVOCATES INVESTMENT MANAGEMENT located in Olympia, Washington and LPL FINANCIAL LLC located in Olympia, Washington.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Douglas has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Roger Whittle'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®
NoneExperience
Current
August 22, 2018 - Present
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
Office #1: 1601 Cooper Point Road Nw, Olympia, WA 98502RIA
CRD#: 151298
Olympia, WA
Current
July 23, 2018 - Present
LPL FINANCIAL LLC
Office #1: 1601 Cooper Point Rd. Nw, Olympia, WA 98502RIA
BD
CRD#: 6413
Olympia, WA
Past
January 23, 2019 - August 17, 2023
FINANCIAL ADVOCATES ADVISORY SERVICES
RIA
CRD#: 147786
OLYMPIA, 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
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FA
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
4:8 FINANCIAL | WILLAMETTE WEALTH MANAGEMENT | WHITE PINE WEALTH MANAGEMENT | WEALTH MANAGEMENT SOLUTIONS | WASATCH PEAKS FINANCIAL SERVICES | WAGSTAFF FINANCIAL | VON BORSTEL & ASSOCIATES | VINTAGE WEALTH ADVISORS | VERITAS WEALTH MANAGEMENT | VELIZ FINANCIAL MANAGEMENT | TYPE A FINANCIAL | TRUERETIREMENT | TRU FINANCIAL | TRIAD FINANCIAL STRATEGIES | TRADEWINDS WEALTH MANAGEMENT | TALLUS CAPITAL MANAGEMENT | TALLUS CAPITAL ADVISORS | SUNRISE WEALTH MANAGEMENT | STRATEGIC WEALTH PARTNERS | STRASSMAN & ASSOC. WEALTH MANAGEMENT | STONERIDGE WEALTH MANAGEMENT | SOUND WEALTH SERVICES | SIGNALINE INVESTMENTS. | SHERPA GUIDED WEALTH | SCS RETIREMENT | SAGE WEALTH MANAGEMENT | RENNAKER FINANCIAL | QE WEALTH MANAGEMENT | PRIZM FINANCIAL | PNW WEALTH MANAGEMENT | PINNACLE FINANCIAL GROUP | PHE FINANCIAL STRATEGIES | PETERS FINANCIAL GROUP | PARTNERSHIP WEALTH MANAGEMENT | PACE FINANCIAL ADVISORS | OLYMPIC INVESTMENT GROUP | NF ADVISORS | NEXUS STRATEGIC WEALTH | NEXT STEPS WEALTH MANAGEMENT | NEWPORT FINANCIAL PLANNING | MOMENTUM WEALTH STRATEGIES | MDM WEALTH MANAGEMENT | MATTESON INVESTMENT RESOURCES | MACKESON ADVISORY | LOCHNER WEALTH MANAGEMENT | LEWIS WEALTH MANAGEMENT PARTNERS | LEGACY WEALTH MANAGEMENT | LEE S. MARTIN | LATONA WEALTH PARTNERS | KIMBALL CREEK PARTNERS | KERRIGAN FINANCIAL MANAGEMENT | JPS WEALTH MANAGEMENT | JPS NEWTON | JMK & ASSOCIATES | INVEX FINANCIAL | INTEGRITY WEALTH ADVISORS | INDIGO WEALTH MANAGEMENT | ICON RETIREMENT AND INVESTMENT SERVICES | HOYT, LEWIS & ASSOCIATES | HERRIN FINANCIAL | HALE LAMB ASSOCIATES | GET CLARITY FINANCIAL SERVICES | FULL CIRCLE WEALTH STRATEGIES | FOUNTAIN STRATEGIES | FORS FINANCIAL CONSULTING | FORESEE WEALTH ADVISORS | FOCUSED FINANCIAL MANAGEMENT GROUP | FIRST FINANCIAL WEALTH SERVICES | FINANCIAL STRATEGIES GROUP | FINANCIAL SPYGLASS | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT NORCAL | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT | FELLOWSHIP FINANCIAL PLANNING | ENCOMPASS WEALTH MANAGEMENT | EMBER WEALTH CONCEPTS & FINANCIAL PLANNING | ECF WEALTH | DAVIS GLOBAL WEALTH MANAGEMENT | CYNDY KOCHER | CREEKSTONE FINANCIAL CONSULTING | CORNERSTONE WEALTH STRATEGIES | CORNERSTONE FINANCIAL STRATEGIES | CORNERSTONE CONSULTING GROUP | COPPERLINE WEALTH MANAGEMENT & PLANNING | COMPASS WEALTH ADVISORY | COMPASS FINANCIAL LLC | COMPASS FINANCIAL | CLEARPOINT WEALTH MANAGEMENT | CLEARPOINT FINANCIAL PARTNERS | CLEARPOINT FINANCIAL | CLEARPOINT CAPITAL | CLEARPOINT COLLEGE PLANNING | CLEAR RETIREMENT GROUP | CLEAR RESOURCE GROUP | CLEAR CREEK WEALTH MANAGEMENT | CHAMBERS BAY ADVISORS | CARTOGRAPH WEALTH | CARRERA RETIREMENT COMPANY | CAPITOL FAMILY OFFICE | CAMERON WEALTH MANAGEMENT | CAMERON ADVISORY SERVICES | CAMBRIDGE WEALTH MANAGEMENT | CADILLAC WEALTH ADVISORS | BWA FINANCIAL | BEST WEALTH MANAGEMENT | BELLE FINANCIAL | BASILICA WEALTH MANAGEMENT | BAILEY WEALTH MANAGEMENT | B3 WEALTH STRATEGIES | AMERISAL FINANCIAL | AMERICAN UNITED INVESTMENT SERVICES
CRD#: 151298 / SEC#: 801-71546
RIA
Registered Investment Advisory firm - (6/15/2010 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Washington(7/23/2018)
IAR
Washington(8/22/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FA
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
4:8 FINANCIAL | WILLAMETTE WEALTH MANAGEMENT | WHITE PINE WEALTH MANAGEMENT | WEALTH MANAGEMENT SOLUTIONS | WASATCH PEAKS FINANCIAL SERVICES | WAGSTAFF FINANCIAL | VON BORSTEL & ASSOCIATES | VINTAGE WEALTH ADVISORS | VERITAS WEALTH MANAGEMENT | VELIZ FINANCIAL MANAGEMENT | TYPE A FINANCIAL | TRUERETIREMENT | TRU FINANCIAL | TRIAD FINANCIAL STRATEGIES | TRADEWINDS WEALTH MANAGEMENT | TALLUS CAPITAL MANAGEMENT | TALLUS CAPITAL ADVISORS | SUNRISE WEALTH MANAGEMENT | STRATEGIC WEALTH PARTNERS | STRASSMAN & ASSOC. WEALTH MANAGEMENT | STONERIDGE WEALTH MANAGEMENT | SOUND WEALTH SERVICES | SIGNALINE INVESTMENTS. | SHERPA GUIDED WEALTH | SCS RETIREMENT | SAGE WEALTH MANAGEMENT | RENNAKER FINANCIAL | QE WEALTH MANAGEMENT | PRIZM FINANCIAL | PNW WEALTH MANAGEMENT | PINNACLE FINANCIAL GROUP | PHE FINANCIAL STRATEGIES | PETERS FINANCIAL GROUP | PARTNERSHIP WEALTH MANAGEMENT | PACE FINANCIAL ADVISORS | OLYMPIC INVESTMENT GROUP | NF ADVISORS | NEXUS STRATEGIC WEALTH | NEXT STEPS WEALTH MANAGEMENT | NEWPORT FINANCIAL PLANNING | MOMENTUM WEALTH STRATEGIES | MDM WEALTH MANAGEMENT | MATTESON INVESTMENT RESOURCES | MACKESON ADVISORY | LOCHNER WEALTH MANAGEMENT | LEWIS WEALTH MANAGEMENT PARTNERS | LEGACY WEALTH MANAGEMENT | LEE S. MARTIN | LATONA WEALTH PARTNERS | KIMBALL CREEK PARTNERS | KERRIGAN FINANCIAL MANAGEMENT | JPS WEALTH MANAGEMENT | JPS NEWTON | JMK & ASSOCIATES | INVEX FINANCIAL | INTEGRITY WEALTH ADVISORS | INDIGO WEALTH MANAGEMENT | ICON RETIREMENT AND INVESTMENT SERVICES | HOYT, LEWIS & ASSOCIATES | HERRIN FINANCIAL | HALE LAMB ASSOCIATES | GET CLARITY FINANCIAL SERVICES | FULL CIRCLE WEALTH STRATEGIES | FOUNTAIN STRATEGIES | FORS FINANCIAL CONSULTING | FORESEE WEALTH ADVISORS | FOCUSED FINANCIAL MANAGEMENT GROUP | FIRST FINANCIAL WEALTH SERVICES | FINANCIAL STRATEGIES GROUP | FINANCIAL SPYGLASS | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT NORCAL | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT | FELLOWSHIP FINANCIAL PLANNING | ENCOMPASS WEALTH MANAGEMENT | EMBER WEALTH CONCEPTS & FINANCIAL PLANNING | ECF WEALTH | DAVIS GLOBAL WEALTH MANAGEMENT | CYNDY KOCHER | CREEKSTONE FINANCIAL CONSULTING | CORNERSTONE WEALTH STRATEGIES | CORNERSTONE FINANCIAL STRATEGIES | CORNERSTONE CONSULTING GROUP | COPPERLINE WEALTH MANAGEMENT & PLANNING | COMPASS WEALTH ADVISORY | COMPASS FINANCIAL LLC | COMPASS FINANCIAL | CLEARPOINT WEALTH MANAGEMENT | CLEARPOINT FINANCIAL PARTNERS | CLEARPOINT FINANCIAL | CLEARPOINT CAPITAL | CLEARPOINT COLLEGE PLANNING | CLEAR RETIREMENT GROUP | CLEAR RESOURCE GROUP | CLEAR CREEK WEALTH MANAGEMENT | CHAMBERS BAY ADVISORS | CARTOGRAPH WEALTH | CARRERA RETIREMENT COMPANY | CAPITOL FAMILY OFFICE | CAMERON WEALTH MANAGEMENT | CAMERON ADVISORY SERVICES | CAMBRIDGE WEALTH MANAGEMENT | CADILLAC WEALTH ADVISORS | BWA FINANCIAL | BEST WEALTH MANAGEMENT | BELLE FINANCIAL | BASILICA WEALTH MANAGEMENT | BAILEY WEALTH MANAGEMENT | B3 WEALTH STRATEGIES | AMERISAL FINANCIAL | AMERICAN UNITED INVESTMENT SERVICES
CRD#: 151298 / SEC#: 801-71546
RIA
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Contact information
Main Address
1601 Cooper Point Road Nw, Olympia, WA 98502
Mailing Address
Phone number
(360) 866-2345
Established
Firm type
Fiscal year end
# of Employees
85
SEC notice filing (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 18,288 |
| AUM (Assets Under Management) | $ 4,074,541,185 |
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.
