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JW

Jeffrey L. Whitaker

Some features on this profile are disabled
CRD#: 3098004
JW

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.

Jeffrey Lee Whitaker was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1998. Jeffrey had worked at 4 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 13, 2013 - February 2, 2018

CAPITAL WEALTH PLANNING, LLC

RIA
CRD#: 150764
NAPLES, FL
Past

December 11, 2008 - October 7, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
NEWPORT NEWS, VA
Past

December 11, 2008 - October 7, 2013

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
NEWPORT NEWS, VA
Past

August 6, 2002 - December 12, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEWPORT NEWS, VA
Past

August 6, 2002 - December 12, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEWPORT NEWS, VA
Past

February 17, 1999 - August 14, 2002

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NORFOLK, VA
Past

August 26, 1998 - August 14, 2002

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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".
CW
CAPITAL WEALTH PLANNING, LLC
CAPITAL WEALTH PLANNING, LLC

CRD#: 150764 / SEC#: 801-70333

RIA
Registered Investment Advisory firm - (6/30/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/11/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/3/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 1/14/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/25/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/29/2002
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/28/2002
General Securities Sales Supervisor - General Module Examination

Current Firm

CW
CAPITAL WEALTH PLANNING, LLC
CAPITAL WEALTH PLANNING, LLC

CRD#: 150764 / SEC#: 801-70333

RIA
Registered Investment Advisory firm - (6/30/2009 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
9015 Strada Stell Ct Suite 203, Naples, FL 34109
Mailing Address
Phone number
(239) 593-2100
Established
Firm type
Fiscal year end
# of Employees
30

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CWP FORM ADV PART 2A (MAY 5, 2020) (3/20/2026)

Regulatory assets under management

Total Number of Accounts14,502
AUM (Assets Under Management)$ 17,247,323,339

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.

Company Information

CAPITAL WEALTH PLANNING, LLC

CRD#: 150764

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