Emil J. Whitman
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.
Emil John Whitman was a registered financial professional .
Emil is a previously registered financial professional and started their career in finance in 1980. Emil had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2011 - December 11, 2012
PROVIDENT SOURCE, LLC
June 22, 2010 - July 27, 2011
MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC
April 6, 2009 - June 25, 2010
TRIBECA ADVISORS, LLC
June 8, 1981 - December 19, 1989
GOLDMAN SACHS & CO. LLC
April 24, 1980 - June 12, 1981
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
PROVIDENT SOURCE, LLC
CRD#: 158501 / SEC#:
Contact information
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.
