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JAMES C WHITIS JR
JAMES C WHITIS
CRD#: 2063665
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 NORTH PORT, FL
CETERA ADVISORS LLCCRD#: 10299 NORTH PORT, FL
0
Disclosures
34
Years of Experience
View By:
State Registrations
B
Arizona 9/8/2022
B
Louisiana 9/8/2022
B
California 2/28/2023
B
New Mexico 9/8/2022
B
Colorado 9/8/2022
B
North Carolina 9/8/2022
B
Florida 9/8/2022
B
Ohio 9/8/2022
IA
Florida 1/6/2025
B
Texas 2/14/2023
B
Kentucky 9/8/2022
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Texas 9/1/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 11/12/2020
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/16/2005 - 09/08/2022 | Somerset, KY | |
IA | 07/02/2012 - 11/12/2020 | Somerset, KY | |
IA | 09/19/2005 - 07/02/2012 | Somerset, KY | |
IA | 08/12/2003 - 09/21/2005 | CAMBRIDGE, OH | |
B | 08/05/2003 - 09/21/2005 | ST. PETERSBURG, FL | |
IA | 08/09/1999 - 07/15/2003 | CANTON, OH | |
B | 06/21/1990 - 07/15/2003 | PURCHASE, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.