Lynn E. Whatley
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.
Lynn Earle Whatley was a registered financial professional .
Lynn is a previously registered financial professional and started their career in finance in 1980. Lynn had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2003 - April 5, 2023
SYNOVUS SECURITIES, INC.
February 24, 2003 - April 1, 2020
SYNOVUS SECURITIES, INC.
January 28, 2003 - March 3, 2003
MORGAN KEEGAN & COMPANY, LLC
April 12, 2001 - March 3, 2003
MORGAN KEEGAN & COMPANY, LLC
June 7, 2000 - April 12, 2001
REGIONS INVESTMENT COMPANY, INC.
May 7, 1996 - June 15, 2000
FIRST UNION BROKERAGE SERVICES, INC.
July 18, 1994 - May 29, 1996
CETERA WEALTH SERVICES, LLC
March 7, 1986 - July 18, 1994
KEOGLER, MORGAN & COMPANY, INC.
January 31, 1986 - March 19, 1986
FSC SECURITIES CORPORATION
December 28, 1981 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
January 15, 1980 - January 23, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 15, 1980 - January 23, 1990
OSAIC FA, INC.
Primary Firm SEC Registration
SYNOVUS SECURITIES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
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 1
Date: 1/7/1980
Registered Representative ExaminationCurrent Firm
SYNOVUS SECURITIES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNOVUS FINANCIAL CORP. | SYNOVUS SECURITIES, INC PARENT | |
| BROOKS, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER | 5028846 |
| ELEAM, JENNA KELLEY | CHIEF FINANCIAL OFFICER / FINOP | 7801582 |
| GUNDERSON, GENE FREDERICK | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 2914172 |
| HILL, JAYNE BARRY | DIRECTOR/PRESIDENT OF WEALTH SERVICES | 7660902 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory assets under management
| Total Number of Accounts | 11,990 |
| AUM (Assets Under Management) | $ 7,086,116,735 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/27/2023 |
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.
