William A. Whitney
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.
William Anthony Whitney, who also goes by Bill Whitney, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1980. William had worked at 5 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 18, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2010 - April 9, 2014
BANKPLUS WEALTH ADVISORS
September 19, 2002 - December 11, 2006
UBS FINANCIAL SERVICES INC.
August 14, 2000 - December 11, 2006
UBS FINANCIAL SERVICES INC.
January 17, 1997 - August 14, 2000
J.C. BRADFORD & CO.
September 19, 1988 - January 27, 1997
PRUDENTIAL EQUITY GROUP, LLC
October 8, 1980 - September 26, 1988
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
Primary Firm SEC Registration
BANKPLUS WEALTH ADVISORS
CRD#: 152588 / SEC#: 801-121567
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 15
Date: 12/28/1982
Foreign Currency Options ExaminationSeries 5
Date: 11/17/1981
Interest Rate Options ExaminationSeries 18
Date: 10/23/1980
Securities Industry Rules and Regulations ExaminationSeries 12
Date: 8/15/1981
NYSE Branch Manager ExaminationCurrent Firm
BANKPLUS WEALTH ADVISORS
CRD#: 152588 / SEC#: 801-121567
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 698 |
| AUM (Assets Under Management) | $ 186,099,182 |
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.
