Jacob R. Whitley
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.
Jacob Robert Whitley, who also goes by Jake Whitley, was a registered financial professional .
Jacob is a previously registered financial professional and started their career in finance in 2006. Jacob had worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2016 - June 1, 2018
WARBURTON CAPITAL MANAGEMENT, LLC
July 3, 2014 - March 2, 2015
MANNING & NAPIER INVESTOR SERVICES, INC.
May 28, 2014 - March 2, 2015
MANNING & NAPIER ADVISORS, LLC
June 23, 2006 - April 30, 2014
FIRST CAPITAL MANAGEMENT, L.L.C.
Primary Firm SEC Registration
WARBURTON CAPITAL MANAGEMENT, LLC
CRD#: 141969 / SEC#: 801-78149
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
Current Firm
WARBURTON CAPITAL MANAGEMENT, LLC
CRD#: 141969 / SEC#: 801-78149
Contact information
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,226 |
| AUM (Assets Under Management) | $ 701,084,221 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2024 |
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.
