Wayne P. Whittaker
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.
Wayne Paul Whittaker was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1993. Wayne had worked at 8 firms and has passed the Series 63, Series 62, Series 7 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
February 2, 2011 - November 14, 2011
CAPE SECURITIES INC.
May 12, 2005 - February 3, 2011
J.P. TURNER & COMPANY, L.L.C.
February 3, 2005 - May 13, 2005
OBSIDIAN FINANCIAL GROUP, LLC
August 20, 2004 - February 4, 2005
SALOMON GREY FINANCIAL CORPORATION
February 4, 2004 - August 10, 2004
AURA FINANCIAL SERVICES, INC.
March 11, 2003 - December 10, 2003
J.P. TURNER & COMPANY, L.L.C.
May 27, 1997 - July 15, 1998
DALTON KENT SECURITIES GROUP, INC.
March 21, 1994 - May 22, 1997
DUKE & CO., INC.
May 5, 1993 - March 9, 1994
STRATTON OAKMONT 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
Series 62
Date: 3/8/2003
Corporate Securities Limited Representative ExaminationCurrent Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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