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DW

David C. Whatley

THE M & A GROUP LLC
Sarasota, FL 34238
Some features on this profile are disabled
CRD#: 4093633
DW

Professional summary

David Chadwick Whatley, who also goes by Chad Whatley, is a registered financial professional currently at THE M & A GROUP LLC located in Sarasota, Florida.

David is registered as a RR (Registered Representative) and started their career in finance in 2000. David has worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chad Whatley

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) - BD

Click below to view David Chadwick Whatley'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

September 19, 2023 - Present

THE M & A GROUP LLC

Office #1: 8133 Shadow Pine Way, Sarasota, FL 34238
BD
CRD#: 144909
Sarasota, FL
Past

April 18, 2022 - September 15, 2023

PARSONEX CAPITAL MARKETS, LLC

BD
CRD#: 169578
ENGLEWOOD, CO
Past

June 29, 2018 - May 4, 2022

THE M & A GROUP LLC

BD
CRD#: 144909
SARASOTA, FL
Past

March 13, 2017 - June 20, 2018

INLAND SECURITIES CORPORATION

BD
CRD#: 15807
OAK BROOK, IL
Past

June 2, 2016 - September 27, 2016

NEXPOINT SECURITIES, INC.

BD
CRD#: 165013
DALLAS, TX
Past

December 28, 2015 - June 8, 2016

NEXBANK SECURITIES INC

BD
CRD#: 133267
DALLAS, TX
Past

February 11, 2014 - December 21, 2015

CABOT LODGE SECURITIES LLC

BD
CRD#: 159712
SCHAUMBURG, IL
Past

March 16, 2011 - January 2, 2014

AEI SECURITIES, INC.

BD
CRD#: 6158
ST. PAUL, MN
Past

March 5, 2010 - February 18, 2011

COMMONWEALTH CAPITAL SECURITIES CORP.

BD
CRD#: 39979
CLEARWATER, FL
Past

September 2, 2009 - November 25, 2009

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA
Past

December 4, 2006 - May 5, 2009

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

February 6, 2002 - November 14, 2006

WELLS INVESTMENT SECURITIES,INC.

BD
CRD#: 15252
NORCROSS, GA
Past

December 8, 2000 - July 5, 2001

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

April 12, 2000 - October 19, 2000

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 12, 2000 - October 19, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(9/26/2023)
RR
Arkansas
(9/29/2023)
RR
Georgia
(9/21/2023)
RR
Illinois
(9/29/2023)
RR
Louisiana
(9/26/2023)
RR
Minnesota
(9/26/2023)
RR
Mississippi
(9/26/2023)
RR
Missouri
(9/19/2023)
RR
North Dakota
(9/25/2023)
RR
Oklahoma
(9/25/2023)
RR
Tennessee
(9/21/2023)
RR
Wisconsin
(9/19/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/1/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/11/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TM
THE M & A GROUP LLC
LAKEPOINTE CAPITAL ADVISORS LLC | THE M & A GROUP LLC | THE M & A GROUP - SORENSEN FREELAND PARTNERS, LLC

CRD#: 144909 / SEC#: , 8-67684

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
8133 Shadow Pine Way, Sarasota, FL 34238
Mailing Address
8133 Shadow Pine Way, Sarasota, FL 34238
Phone number
(941) 960-2374
Established
Minnesota since 10/18/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SORENSEN, IVAR W.EXECUTIVE REP/CEO/CCO/AMLCO/FINOP5679179

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

THE M & A GROUP LLC

CRD#: 144909Sarasota, FL 34238

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