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William E. Whitaker

Some features on this profile are disabled
CRD#: 464789
WW

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.

William Ernest Whitaker was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1973. William had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 24 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

September 26, 2005 - May 18, 2015

KIBBLE & PRENTICE HOLDING COMPANY

RIA
CRD#: 127672
SEATTLE, WA
Past

August 18, 2005 - January 3, 2017

M HOLDINGS SECURITIES, INC.

BD
CRD#: 43285
SEATTLE, WA
Past

November 29, 2004 - July 18, 2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
SEATTLE, WA
Past

August 1, 2003 - April 27, 2004

WALNUT STREET SECURITIES, INC.

RIA
CRD#: 15840
SEATTLE, WA
Past

August 1, 2003 - April 27, 2004

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

November 6, 1998 - July 18, 2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

August 28, 1998 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

RIA
CRD#: 8503
SEATTLE, WA
Past

April 1, 1998 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

November 19, 1989 - May 6, 1991

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

November 15, 1985 - February 12, 1998

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

March 11, 1981 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

May 1, 1973 - December 19, 1989

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA

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: 7/21/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/7/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/3/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 4/24/1973
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/15/1998
General Securities Principal Examination

Current Firm

K&
KIBBLE & PRENTICE HOLDING COMPANY
KIBBLE & PRENTICE | USI KIBBLE & PRENTICE | KIBBLE & PRENTICE INSURANCE | KIBBLE & PRENTICE HOLDING COMPANY

CRD#: 127672 / SEC#: 801-62209

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Contact information

Main Address
601 Union Street, Suite 1000, Seattle, WA 98101-4064
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

KIBBLE & PRENTICE HOLDING COMPANY - ADV PART 2B (03/31/2017) (3/27/2017)
KIBBLE & PRENTICE HOLDING COMPANY - ADV PART 2A (03/31/2017) (3/27/2017)

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

KIBBLE & PRENTICE HOLDING COMPANY

CRD#: 127672

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