Grover W. Whaley

WITTER & LESTER

HUNTSVILLE, AL

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CRD#: 2614261

Professional summary

Grover Wayne Whaley MR, who also goes by Wayne Whaley, is a registered financial advisor currently at WITTER & LESTER INC located in Huntsville, Alabama.

Grover is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Grover has worked at 1 firm and has passed the Series 63 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Wayne Whaley

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Grover Wayne Whaley MR'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®

None

Experience

Current

March 11, 2005 - Present

WITTER & LESTER INC

RIA

CRD#: 133913

HUNTSVILLE, AL

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

Alabama
(3/11/2005)

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

Series 63

Date: 8/24/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/24/1995

National Commodity Futures Examination

Current Firm

WITTER & LESTER INC

CRD#: 133913 / SEC#:

Alabama

Registered Investment Advisory firm - (3/7/1991 Approved)

California

Registered Investment Advisory firm - (12/18/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Huntsville, AL

Mailing Address

Phone number

(256) 970-9060

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 6,536,184

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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Grover W. Whaley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Grover Wayne Whaley MR's CRS (Customer Relationship Summary).

Certified licenses

Experience

WITTER & LESTER INC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/24/1999

Series 3

Date: 4/24/1995

Current Firm

WITTER & LESTER INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WITTER & LESTER INC

TRUST BUT VERIFY

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