Whitney W. Warmack

THE CAPROCK GROUP

Austin, TX 78701

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CRD#: 5349630

Professional summary

Whitney W Warmack, CFP®, who also goes by Whitney W Herron, is a registered financial advisor currently at THE CAPROCK GROUP, LLC located in Austin, Texas.

Whitney is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Whitney has worked at 7 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Whitney W Herron

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.

1. Owner; Republic Social House; 437 Memorial Drive Atlanta GA 30312; Since 01/01/2006; Non-investment related; Approximately 1-5 hours spent per moth

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Whitney W Warmack'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®

CFP^®

Certified Financial Planner

Experience

Current

June 28, 2023 - Present

THE CAPROCK GROUP, LLC

Office #1: 1607 Nueces Street, Austin, TX 78701

RIA

CRD#: 124272

Austin, TX

Past

October 1, 2021 - June 30, 2023

CRESSET ASSET MANAGEMENT, LLC

RIA

CRD#: 288566

Austin, TX

Past

March 26, 2019 - October 19, 2021

BERMAN CAPITAL ADVISORS, LLC

RIA

CRD#: 155419

ATLANTA, GA

Past

December 4, 2015 - January 30, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

ATLANTA, GA

Past

December 4, 2015 - January 30, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ATLANTA, GA

Past

January 4, 2011 - December 4, 2015

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

ATLANTA, GA

Past

January 3, 2011 - December 4, 2015

BARCLAYS CAPITAL INC.

CRD#: 19714

ATLANTA, GA

Past

September 26, 2008 - December 2, 2010

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

July 24, 2007 - September 9, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

ATLANTA, GA

Past

July 3, 2007 - September 9, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

ATLANTA, GA

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".

THE CAPROCK GROUP, LLC

CRD#: 124272 / SEC#: 801-61642

RIA

Registered Investment Advisory firm - (12/17/2002 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

Texas
(9/28/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/20/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/5/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/2/2007

General Securities Representative Examination

Current Firm

THE CAPROCK GROUP, LLC

CRD#: 124272 / SEC#: 801-61642

RIA

Registered Investment Advisory firm - (12/17/2002 Approved)

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Contact information

Main Address

800 West Main Street Suite 1150, Boise, ID 83702

Mailing Address

Phone number

(208) 368-9600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE CAPROCK GROUP, INC. FORM ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	408
AUM (Assets Under Management)	$ 10,149,325,042

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/17/2025	Cover Page	Report
01/28/2025	Cover Page	Report
10/26/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Whitney W. Warmack

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Whitney W Warmack's CRS (Customer Relationship Summary).

Certified licenses

Experience

CRESSET ASSET MANAGEMENT, LLC

BERMAN CAPITAL ADVISORS, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

GOLDMAN SACHS & CO. LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

THE CAPROCK GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/20/2007

SIE

Date: 10/1/2018

Series 3

Date: 5/5/2014

Series 7

Date: 7/2/2007

Current Firm

THE CAPROCK GROUP, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE CAPROCK GROUP, LLC

TRUST BUT VERIFY

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