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MW

Maurice L. Whittaker

STANSBERRY ASSET MANAGEMENT
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 4807415
MW

Professional summary

Maurice Leonard Whittaker, who also goes by Maurice Whittaker, is a registered financial advisor currently at STANSBERRY ASSET MANAGEMENT, LLC located in San Francisco, California.

Maurice is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Maurice has worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Maurice Whittaker

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) - RIA

Click below to view Maurice Leonard Whittaker'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

January 16, 2023 - Present

STANSBERRY ASSET MANAGEMENT, LLC

Office #1: Two Embarcadero Center Suite 2320, San Francisco, CA 94111
RIA
CRD#: 282103
San Francisco, CA
Past

October 25, 2017 - June 11, 2019

HARRISDIRECT LLC

RIA
CRD#: 42159
San Francisco, CA
Past

October 25, 2017 - June 11, 2019

E*TRADE SECURITIES LLC

BD
CRD#: 29106
SAN FRANCISCO, CA
Past

April 7, 2014 - August 7, 2017

LORD, ABBETT & CO. LLC

RIA
CRD#: 110391
JERSEY CITY, NJ
Past

April 4, 2014 - August 7, 2017

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ
Past

October 13, 2008 - April 1, 2014

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
FLUSHING, NY
Past

March 25, 2008 - April 1, 2014

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
FLUSHING, NY
Past

August 25, 2005 - February 5, 2007

PFIC SECURITIES CORPORATION

BD
CRD#: 34941
FRANKLIN, TN
Past

June 21, 2004 - August 1, 2005

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
STANSBERRY ASSET MANAGEMENT, LLC
STANSBERRY ASSET MANAGEMENT LLC | STANSBERRY ASSET MANAGEMENT, LLC

CRD#: 282103 / SEC#: 801-107061

RIA
Registered Investment Advisory firm - (1/4/2016 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(1/16/2023)
IAR
Texas
(1/2/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/14/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/21/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/28/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/18/2004
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SA
STANSBERRY ASSET MANAGEMENT, LLC
STANSBERRY ASSET MANAGEMENT LLC | STANSBERRY ASSET MANAGEMENT, LLC

CRD#: 282103 / SEC#: 801-107061

RIA
Registered Investment Advisory firm - (1/4/2016 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1600 Solana Boulevard Building 8 Suite 8100, Westlake, TX 76262
Mailing Address
Phone number
(646) 854-4370
Established
Firm type
Fiscal year end
# of Employees
38

SEC notice filing (48 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

STANSBERRY ASSET MANAGEMENT ADV2A 032025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts3,164
AUM (Assets Under Management)$ 1,049,018,025

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

STANSBERRY ASSET MANAGEMENT, LLC

CRD#: 282103San Francisco, CA 94111

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