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DW

Douglas L. Whitten

LECONTE WEALTH MANAGEMENT
MARYVILLE, TN 37804
Some features on this profile are disabled
CRD#: 7058392
DW

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.
The advisor shows no other business activity.

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.

BD
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.

BD
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

BD
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".
LW
LECONTE WEALTH MANAGEMENT, LLC
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)

Exams

State Security Law Exam
RR
Series 63
Date: 1/9/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/11/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/19/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/15/2019
Securities Industry Essentials Examination

Current Firm

LW
LECONTE WEALTH MANAGEMENT, LLC
LECONTE WEALTH MANAGEMENT, LLC

CRD#: 168539 / SEC#: 801-78438

RIA
Registered Investment Advisory firm - (8/12/2013 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
11

SEC notice filing (2 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LECONTE WEALTH MANAGEMENT, LLC ADV BROCHURE (3/13/2026)

Regulatory assets under management

Total Number of Accounts874
AUM (Assets Under Management)$ 346,849,014

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

LECONTE WEALTH MANAGEMENT, LLC

CRD#: 168539Maryville, TN 37804

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