John B. Whitley Ii
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.
John Benjamin Whitley Ii, CFP®, who also goes by Jo-be Whitley, John Benjamin Whitley II, John Benjamin Whitley, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2003. John had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2012 - December 11, 2024
AVANTAX ADVISORY SERVICES
October 11, 2012 - December 11, 2024
AVANTAX INVESTMENT SERVICES, INC.
October 23, 2009 - July 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - July 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 2009 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 3, 2009 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 9, 2004 - September 10, 2009
AVANTAX ADVISORY SERVICES
August 27, 2003 - September 10, 2009
AVANTAX INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
