Douglas L. Whitten

LECONTE WEALTH MANAGEMENT

MARYVILLE, TN 37804

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CRD#: 7058392

Professional summary

Douglas Leonard Whitten, who also goes by Doug Leonard Whitten, is a registered financial advisor currently at LECONTE WEALTH MANAGEMENT, LLC located in Maryville, Tennessee.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Douglas has worked at 7 firms and has passed the Series 63, Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Doug Leonard Whitten

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.

8/2024 Independent Licensed insurance Agent; Investment Related; Tennessee ; fixed insurance

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Leonard Whitten'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

July 22, 2025 - Present

LECONTE WEALTH MANAGEMENT, LLC

Office #1: 333 East Broadway Ave 4th Floor, Maryville, TN 37804

RIA

CRD#: 168539

MARYVILLE, TN

Past

June 6, 2024 - July 10, 2025

M HOLDINGS SECURITIES, INC.

RIA

CRD#: 43285

KNOXVILLE, TN

Past

June 6, 2024 - July 10, 2025

M HOLDINGS SECURITIES, INC.

CRD#: 43285

KNOXVILLE, TN

Past

April 8, 2022 - June 7, 2024

C & J WEALTH ADVISORS

RIA

CRD#: 133293

KNOXVILLE, TN

Past

September 18, 2020 - April 6, 2022

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

KNOXVILLE, TN

Past

September 18, 2020 - April 6, 2022

SECURITIES AMERICA, INC.

CRD#: 10205

KNOXVILLE, TN

Past

May 15, 2020 - September 18, 2020

SSN ADVISORY, INC.

RIA

CRD#: 126090

Knoxville, TN

Past

July 19, 2019 - September 18, 2020

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

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".

LECONTE WEALTH MANAGEMENT, LLC

CRD#: 168539 / SEC#: 801-78438

RIA

Registered Investment Advisory firm - (8/12/2013 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

Tennessee
(7/22/2025)

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

Series 63

Date: 1/9/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/11/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/19/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/15/2019

Securities Industry Essentials Examination

Current Firm

LECONTE WEALTH MANAGEMENT, LLC

CRD#: 168539 / SEC#: 801-78438

RIA

Registered Investment Advisory firm - (8/12/2013 Approved)

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Contact information

Main Address

333 East Broadway Ave 4th Floor, Maryville, TN 37804

Mailing Address

Phone number

(865) 379-8200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LECONTE WEALTH MANAGEMENT, LLC ADV BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	301
AUM (Assets Under Management)	$ 309,791,400

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

Douglas L. Whitten

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Leonard Whitten's CRS (Customer Relationship Summary).

Certified licenses

Experience

M HOLDINGS SECURITIES, INC.

M HOLDINGS SECURITIES, INC.

C & J WEALTH ADVISORS

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

SSN ADVISORY, INC.

SECURITIES SERVICE NETWORK, LLC

Primary Firm SEC Registration

LECONTE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/9/2025

Series 66

Date: 5/11/2020

Series 7TO

Date: 7/19/2019

SIE

Date: 4/15/2019

Current Firm

LECONTE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LECONTE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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