Phillip T. Whitley

WHITLEY FINANCIAL

Harrisburg, NC

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CRD#: 2367830

Professional summary

Phillip Thomas Whitley, AIF® is a registered financial advisor currently at WHITLEY FINANCIAL, LLC located in Harrisburg, North Carolina.

Phillip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Phillip has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.

Licensed insurance professional (individual name/capacity), same address, non-investment related. Less than 10% of business time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Thomas Whitley'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

January 3, 2022 - Present

WHITLEY FINANCIAL, LLC

RIA

CRD#: 316607

Harrisburg, NC

Past

April 1, 2021 - December 31, 2021

GROVE POINT ADVISORS, LLC

RIA

CRD#: 313171

Harrisburg, NC

Past

May 4, 2017 - April 1, 2021

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

Harrisburg, NC

Past

May 4, 2017 - December 31, 2021

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

Harrisburg, NC

Past

April 26, 2012 - May 4, 2017

SYNERGY INVESTMENT GROUP, LLC

RIA

CRD#: 46035

KANNAPOLIS, NC

Past

March 8, 2012 - April 25, 2012

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

CHARLOTTE, NC

Past

February 17, 2012 - May 12, 2017

STONEX SECURITIES INC.

CRD#: 18456

CHARLOTTE, NC

Past

May 6, 2005 - March 7, 2012

SYNERGY INVESTMENT GROUP, LLC

RIA

CRD#: 46035

CHARLOTTE, NC

Past

May 6, 2005 - March 7, 2012

SYNERGY INVESTMENT GROUP, LLC

CRD#: 46035

CHARLOTTE, NC

Past

April 1, 2002 - May 10, 2005

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

CONCORD, NC

Past

July 13, 1993 - May 10, 2005

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(1/3/2022)

IAR

Texas
(5/23/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/11/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/9/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/9/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/9/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WHITLEY FINANCIAL, LLC

WHITLEY FINANCIAL LLC | WHITLEY FINANCIAL, LLC

CRD#: 316607 / SEC#:

North Carolina

Registered Investment Advisory firm - (1/3/2022 Approved)

Texas

Registered Investment Advisory firm - (5/17/2023 Conditional Restricted)

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Contact information

Main Address

Harrisburg, NC

Mailing Address

Phone number

(704) 467-4848

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	37
AUM (Assets Under Management)	$ 5,870,740

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.

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Advisor Monitoring

Firm Stability Insights

Phillip T. Whitley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Thomas Whitley's CRS (Customer Relationship Summary).

Certified licenses

Experience

GROVE POINT ADVISORS, LLC

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

SYNERGY INVESTMENT GROUP, LLC

INTL ADVISORY CONSULTANTS INC.

STONEX SECURITIES INC.

SYNERGY INVESTMENT GROUP, LLC

SYNERGY INVESTMENT GROUP, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/11/2002

Series 63

Date: 7/9/1993

SIE

Date: 10/1/2018

Series 7

Date: 8/9/2002

Series 6

Date: 7/9/1993

Current Firm

WHITLEY FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WHITLEY FINANCIAL, LLC

TRUST BUT VERIFY

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