Michael Whitney
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.
Michael Whitney, who also goes by Mike Whitney, Michael John Whitney, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2008. Michael had worked at 11 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2023 - June 26, 2026
FDX CAPITAL LLC
November 28, 2022 - October 31, 2023
WEALTHFORGE SECURITIES, LLC
April 1, 2021 - November 14, 2022
INVESTX MARKETS LLC
March 10, 2020 - April 7, 2021
GRANT WILLIAMS L.P.
December 7, 2016 - August 27, 2020
RUSSELL INVESTMENTS
December 7, 2016 - January 16, 2020
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
March 30, 2015 - August 11, 2016
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
March 1, 2013 - April 1, 2015
FARMERS FINANCIAL SOLUTIONS, LLC
July 26, 2010 - January 7, 2013
INVESCO ADVISERS, INC.
June 1, 2010 - January 7, 2013
INVESCO DISTRIBUTORS, INC.
January 25, 2008 - June 1, 2010
INVESCO CAPITAL MARKETS, INC.
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
FDX CAPITAL LLC
CRD#: 119302 / SEC#: , 8-65170
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
