John L. Whittington
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.
John Little Whittington was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1979. John had worked at 18 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
January 3, 2005 - November 13, 2008
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
August 2, 2000 - December 31, 2004
COMMONWEALTH FINANCIAL NETWORK
February 27, 1999 - July 24, 2000
WELLS FARGO SECURITIES INC.
January 7, 1998 - July 24, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
April 14, 1997 - December 31, 1997
ALLSTATE FINANCIAL SERVICES, LLC
July 18, 1995 - April 23, 1997
NATIONAL PLANNING CORPORATION
November 24, 1993 - May 2, 1994
COMPULIFE INVESTOR SERVICES, INC.
March 18, 1993 - October 1, 1993
CAPITAL BROKERAGE CORPORATION
May 6, 1992 - December 14, 1992
METLIFE INVESTORS DISTRIBUTION COMPANY
November 28, 1990 - March 25, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 28, 1990 - March 25, 1992
EQUITABLE ADVISORS, LLC
January 29, 1990 - December 17, 1990
ADVANTAGE CAPITAL CORPORATION
August 23, 1989 - October 3, 1989
INVEST FINANCIAL CORPORATION
June 27, 1989 - August 29, 1989
ADVANTAGE CAPITAL CORPORATION
September 29, 1986 - November 30, 1988
PAMCO SECURITIES AND INSURANCE SERVICES
November 11, 1985 - October 22, 1986
B.C. CHRISTOPHER SECURITIES CO.
July 22, 1983 - March 20, 1984
DEVANNEY, BURGIN, SHANACY, INC.
April 1, 1982 - June 14, 1983
CHESLEY AND DUNN, INC.
January 26, 1982 - April 28, 1982
DEVANNEY, BURGIN, SHANACY, INC.
July 27, 1979 - November 5, 1981
BOETTCHER & COMPANY, INC.
Primary Firm SEC Registration
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
CRD#: 20804 / SEC#: 801-57198, 8-38485
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
Current Firm
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
CRD#: 20804 / SEC#: 801-57198, 8-38485
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED PLANNERS' GROUP, INC. | GENERAL PARTNER | |
| BAKER, MICHAEL A | PRESIDENT | 4037933 |
| BAKER, MICHAEL A | CHIEF EXECUTIVE OFFICE (CEO) | 4037933 |
| CUFFARI-AGASI, SHEILA JUNE | EXECUTIVE VICE PRESIDENT | 2401020 |
| HAUER, DAVE B | VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER | 4018434 |
| OLIVERIO, KENNETH WILLIAM JR | EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER | 2957427 |
| SHINDEL, CHAD TRAVIS | VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO) | 6232253 |
Regulatory assets under management
| Total Number of Accounts | 41,834 |
| AUM (Assets Under Management) | $ 10,637,349,683 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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.
