John W. Whitaker

CRAIG-HALLUM CAPITAL GROUP LLC

MINNEAPOLIS, MN 55401

Some features on this profile are disabled

CRD#: 4325772

Professional summary

John William Whitaker JR. is a registered financial professional currently at CRAIG-HALLUM CAPITAL GROUP LLC located in Minneapolis, Minnesota.

John is registered as a RR (Registered Representative) and started their career in finance in 2001. John has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view John William Whitaker JR.'s CRS (Customer Relationship Summary).

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

October 7, 2025 - Present

CRAIG-HALLUM CAPITAL GROUP LLC

Office #1: 323 N Washington Ave Suite 300, Minneapolis, MN 55401

CRD#: 121395

MINNEAPOLIS, MN

Past

September 6, 2019 - October 1, 2025

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269

Wayzata, MN

Past

April 4, 2019 - May 13, 2019

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269

wayzata, MN

Past

September 23, 2003 - September 11, 2019

AGENCY TRADING GROUP, INC.

CRD#: 108887

WAYZATA, MN

Past

January 16, 2001 - October 23, 2003

NAVILLUS SECURITIES, INC.

CRD#: 31230

WEST CONSHOHOCKEN, PA

State Registrations and Notice Filings

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

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

California
(10/7/2025)

Connecticut
(10/7/2025)

Florida
(10/7/2025)

Illinois
(10/7/2025)

Minnesota
(10/10/2025)

New York
(10/7/2025)

Texas
(10/7/2025)

Washington
(10/7/2025)

Wisconsin
(10/7/2025)

Exams

State Security Law Exam

Series 63

Date: 1/26/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 6/6/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/13/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/21/2014

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

CRAIG-HALLUM CAPITAL GROUP LLC

CRD#: 121395 / SEC#: , 8-65407

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

323 N Washington Ave Suite 300, Minneapolis, MN 55401

Mailing Address

323 N Washington Ave Suite 300, Minneapolis, MN 55401

Phone number

(612) 334-6300

Established

Minnesota since 05/30/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (44 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CRAIG-HALLUM HOLDINGS LLC	SHAREHOLDER
DYER, STEVEN LEE	DIR, CEO	4341538
EMMEL, THOMAS EDMUND	DIR	2728311
HARRIS, KEVIN PATRICK	DIR, PRESIDENT	724657
HARTFIEL, WILLIAM FREDERICK	DIR	2093426
JENSEN, CHRISTOPHER R	CCO	3219762
SONSTEGARD, JEANNIE LOUISE	CFO	1643359
ZAVORAL, JAMES HENRY JR	DIR	2415854

Disclosures

Regulatory Event

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.

Similar Advisors

Chad Rusten

ELEMENT SQUARED PRIVATE WEALTH

IAR

Minneapolis, MN

Janai Deitt

THRIVENT INVESTMENT MANAGEMENT INC.

IAR

McKinney, TX

Steven Schmidt

LPL ENTERPRISE, LLC

IAR

ST. LOUIS PARK, MN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John W. Whitaker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John William Whitaker JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

TRADITION SECURITIES AND DERIVATIVES LLC

TRADITION SECURITIES AND DERIVATIVES LLC

AGENCY TRADING GROUP, INC.

NAVILLUS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/26/2001

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 6/6/2002

Series 7

Date: 1/13/2001

Series 24

Date: 5/21/2014

FINRA

Nasdaq Stock Market

Current Firm

CRAIG-HALLUM CAPITAL GROUP LLC

Contact information

FINRA licenses (44 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CRAIG-HALLUM CAPITAL GROUP LLC

TRUST BUT VERIFY

Similar Advisors