Henry L. Whiffen
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.
Henry Layton Whiffen, who also goes by Hank Whiffen, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1967. Henry had worked at 14 firms and has passed the Series 63, Series 1, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2007 - March 30, 2015
TANNER CAPITAL MANAGEMENT, LLC
January 8, 2007 - December 24, 2014
THE ESTATE ANALYSIS GROUP
April 12, 2006 - September 26, 2006
ALLEGIS ADVISORS, INC.
September 14, 2005 - March 30, 2006
TANNER CAPITAL MANAGEMENT, LLC
January 2, 1998 - May 26, 1999
CADARET, GRANT & CO., INC.
June 6, 1997 - January 2, 1998
PINEBRIDGE SECURITIES LLC
April 24, 1992 - May 20, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 27, 1990 - December 24, 1991
FSC SECURITIES CORPORATION
January 4, 1989 - July 27, 1989
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 25, 1988 - December 31, 1988
CETERA WEALTH SERVICES, LLC
April 30, 1984 - February 18, 1988
FPI SECURITIES, INC.
March 22, 1982 - January 26, 1984
LPL FINANCIAL LLC
January 2, 1982 - April 19, 1982
IMS EQUITIES, INC.
January 2, 1982 - January 25, 1983
FPI SECURITIES, INC.
August 18, 1977 - August 22, 1985
CANDLAND, KINDSCHI & ASSOCIATES
October 16, 1967 - October 10, 1977
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 9/21/1967
Registered Representative ExaminationF04
Date: 7/5/1977
Financial Principal ExaminationSeries 40
Date: 6/6/1977
Registered Principal ExaminationCurrent Firm
TANNER CAPITAL MANAGEMENT, LLC
CRD#: 123497 / SEC#: 801-64348
Contact information
Red Flags
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