PW
Paul L. Whiting
AGW CAPITAL ADVISORS
TAMPA, FL 33606
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CRD#: 5671116
PW
Professional summary
Paul Leo Whiting JR., who also goes by Paul L. Whiting Jr., is a registered financial advisor currently at AGW CAPITAL ADVISORS located in Tampa, Florida.
Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Paul has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul L. Whiting Jr.
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.
Annis Gardner Whiting Capital Advisors LLC is the manager of AGW PE Access Vehicle: BPV - IV, LLC, a private fund. We will recommend investments in this private fund to those clients for which investment in the fund is suitable. This presents a conflict of interest in that we or its related persons may receive compensation from investment in the fund. Fees paid by clients invested in this private fund are commensurate with their overall fee schedule. Nevertheless, we act in the best interest of the client consistent with its fiduciary duties and clients are not required to invest in the private fund if they do not wish to do so.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Leo Whiting JR.'s 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®
NoneExperience
Current
October 5, 2009 - Present
AGW CAPITAL ADVISORS
Office #1: 511 W. Bay Street Suite 310, Tampa, FL 33606RIA
CRD#: 150570
TAMPA, FL
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".
AC
AGW CAPITAL ADVISORS
AGW CAPITAL ADVISORS | ANNIS GARDNER WHITING CAPITAL ADVISORS LLC | ANNIS GARDNER CAPITAL, LLC
CRD#: 150570 / SEC#: 801-70256
RIA
Registered Investment Advisory firm - (6/1/2009 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
Florida(10/5/2009)
Current Firm
AC
AGW CAPITAL ADVISORS
AGW CAPITAL ADVISORS | ANNIS GARDNER WHITING CAPITAL ADVISORS LLC | ANNIS GARDNER CAPITAL, LLC
CRD#: 150570 / SEC#: 801-70256
RIA
Registered Investment Advisory firm - (6/1/2009 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
511 W. Bay Street Suite 310, Tampa, FL 33606
Mailing Address
Phone number
(813) 254-4700
Established
Firm type
Fiscal year end
# of Employees
18
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,257 |
| AUM (Assets Under Management) | $ 1,480,003,689 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 10/23/2023 | ||
| 09/27/2022 |
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.
