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Robert B. Whisnant

CARTY, HARDING & HEARN
Little Rock, AR 72211
Some features on this profile are disabled
CRD#: 5646205
RW

Professional summary

Robert Brent Whisnant is a registered financial professional currently at CARTY, HARDING & HEARN, INC. located in Little Rock, Arkansas.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2009. Robert has worked at 2 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Robert Brent Whisnant'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

April 25, 2022 - Present

CARTY, HARDING & HEARN, INC.

Office #1: 900 S. Shackleford Rd Suite 100, Little Rock, AR 72211
BD
CRD#: 7001
Little Rock, AR
Past

March 26, 2009 - April 22, 2022

CREWS & ASSOCIATES, INC.

BD
CRD#: 8052
LITTLE ROCK, AR

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arkansas
(4/25/2022)
RR
California
(4/25/2022)
RR
Florida
(4/25/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 4/8/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/25/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/27/2018
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CH
CARTY, HARDING & HEARN, INC.
CARTY & COMPANY, INC. | CHH | CARTY, HARDING, & HEARN, INC. | CARTY, HARDING & HEARN, INC. | CARTY, HARDING & HEARN

CRD#: 7001 / SEC#: , 8-19082

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
6263 Poplar Avenue Suite 800, Memphis, TN 38119
Mailing Address
P.o. Box 17527, Memphis, TN 38187-0527
Phone number
(901) 767-8940
Established
Tennessee since 10/07/1970
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CARTY FINANCIAL CORPORATIONOWNER
CARTY, BILLY RANDOLPHCEO42297
CARTY, WILLIAM LAWRENCEPRESIDENT2356971
HEARN, JOHN ARTHURMANAGING DIRECTOR2078994
RUETTEN, ANGELA LYNNCFO
SCOLA, JENNIFER CARTYCOO, CCO1720872
TUCKER, CLARK BOMARFINOP1977842

Disclosures

Regulatory Event19

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

CARTY, HARDING & HEARN, INC.

CRD#: 7001Little Rock, AR 72211

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