William L. Whipple

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CRD#: 4716778

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 Lorin Whipple, who also goes by Bill Whipple, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 2003. William had worked at 2 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bill Whipple

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.

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

August 11, 2011 - February 24, 2014

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

IDAHO FALLS, ID

Past

October 17, 2003 - December 31, 2010

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

IDAHO FALLS, ID

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

Series 63

Date: 10/23/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 10/16/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686 / SEC#: , 8-29533

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

3200 Olympus Blvd Suite 100, Dallas, TX 75019

Mailing Address

3200 Olympus Blvd Suite 100, Dallas, TX 75019

Phone number

(972) 870-6000

Established

Texas since 04/13/1983

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (11 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
AVANTAX WEALTH MANAGEMENT, INC.	SOLE SHAREHOLDER
BUCHHEISTER, JEFFREY ROBERT	CHIEF FINANCIAL OFFICER	4709900
BURKOTT, DANIEL PAUL	CHIEF COMPLIANCE OFFICER	4710068
DOWELL, RODNEY CAMMERON	PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT	7376607
GOK, LISA ANNE	GENERAL COUNSEL, SECRETARY	5059738
HOLWEGER, KIMBERLEY	PRINCIPAL OPERATIONS OFFICER	1572778
MACKAY, TODD CHRISTOPHER	DIRECTOR AND VICE PRESIDENT	2799860
MIZUGUCHI, MAURA	CHIEF ACCOUNTING OFFICER	5769181
NEARY, JOSEPH DANIEL	DIRECTOR AND VICE PRESIDENT	2993505
WATTS, ANDREW DAVID	PRESIDENT	4780880

Disclosures

Regulatory Event	16
Arbitration	4
Bond	1

Red Flags

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