AW
Ansley E. Whatley
CETERA INVESTMENT ADVISERS LLC
DOTHAN, AL 36305
Some features on this profile are disabled
CRD#: 4318896
AW
Professional summary
Ansley Earle Whatley III, who also goes by Ansley E Whatley III, Trip Whatley, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dothan, Alabama and CETERA WEALTH SERVICES, LLC located in Dothan, Alabama.
Ansley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Ansley has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ansley E Whatley Iii | Trip 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.
(dba) HOLMAN WHATLEY & ASSOCIATES; Investment Related; 200 Grove Park Lane, Suite 100, Dothan, AL 36305; Insurance and Investments; Financial Advisor; Start Date 12/2006; 160 hours per month with the majority of hours per month occurring during trading hours; Sales and service of insurance products. >> BELIEVING PROPERTIES; Non-Investment Related; 200 Grove Park Lane, Suite 100, Dothan, AL 36305; Other; Vice-President; Start Date 11/2006; No hours per month; Property ownership. >> W3 PROPERTIES, LLC; Non-Investment Related; 401 Fox Valley Drive, Dothan, AL 36305; Other; Owner; Start Date 06/2005; No hours per month; No activities or duties. Ownership of property. >> DOTHAN EDUCATION FOUNDATION (DEF); Non-Investment Related; 2431 West Main Street, Suite 301, Dothan, AL 36301; Member; Start Date 01/2016; 2 hours per month; DEF provides support to Dothan City School Teachers and is an intermediary between the community and the Dothan City School Board.
CRS (Client Relationship Summary) - RIA
Click below to view Ansley Earle Whatley III'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®
NoneExperience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 200 Grove Park Lane Suite 100, Dothan, AL 36305RIA
CRD#: 105644
DOTHAN, AL
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 200 Grove Park Lane Suite 100, Dothan, AL 36305BD
CRD#: 13572
Dothan, AL
Past
December 20, 2006 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Dothan, AL
Past
December 15, 2006 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Dothan, AL
Past
May 25, 2004 - December 18, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
DOTHAN, AL
Past
February 3, 2003 - June 7, 2004
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
February 16, 2001 - January 31, 2003
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.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(2/20/2025)
IAR
Alabama(2/20/2025)
RR
Arkansas(2/20/2025)
RR
Colorado(2/20/2025)
RR
District of Columbia(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
RR
Indiana(2/20/2025)
RR
Kentucky(2/20/2025)
RR
Mississippi(2/20/2025)
RR
North Carolina(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(4/1/2025)
RR
Wyoming(2/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
