Bobby W. Whitley
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.
Bobby Wayne Whitley, who also goes by Bob Whitley, was a registered financial professional .
Bobby is a previously registered financial professional and started their career in finance in 1992. Bobby had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2015 - December 6, 2018
THE O.N. EQUITY SALES COMPANY
April 27, 2015 - October 28, 2015
ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC
January 2, 2014 - September 1, 2015
CALTON & ASSOCIATES, INC.
March 6, 2013 - April 16, 2015
HIGH STREET ASSET MANAGEMENT, LLC
September 3, 2008 - December 31, 2013
HIGH STREET SECURITIES, INC.
January 19, 2006 - August 18, 2008
QA3 FINANCIAL CORP.
January 10, 1997 - December 31, 2005
INVESTORS CAPITAL CORP.
November 27, 1995 - December 11, 1996
BUCKHEAD FINANCIAL CORPORATION
December 21, 1992 - November 27, 1995
INVESTACORP, 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
Current Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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