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WILLIAM ASBURY WHITAKER
CRD#: 3259100
IA
Investment Adviser
B
Broker
OPPENHEIMER & CO. INC.CRD#: 249 PHIPPS TOWER-3438 PEACHTREE RD NE
SUITE 950
ATLANTA, GA 30326
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2009 (3 years)2 FIRMS2009 - Present (15 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2002 - 2005 (3 years)BWACHOVIA SECURITIES, INC. (CRD# 431)1999 - 2002 (2 years)BWACHOVIA BROKERAGE SERVICE (CRD# 17503)1999 - 1999 (<1 year)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2003 - 2005 (2 years)
License(s)

State Registrations

B
Florida 1/8/2021

IA
Georgia 3/17/2009

B
Georgia 3/16/2009

B
North Carolina 1/4/2012

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OPPENHEIMER & CO. INC. (CRD#:249)
PHIPPS TOWER-3438 PEACHTREE RD NE SUITE 950, ATLANTA, GA 30326
Registered with this firm since 3/17/2009

B
OPPENHEIMER & CO. INC. (CRD#:249)
PHIPPS TOWER-3438 PEACHTREE RD NE SUITE 950, ATLANTA, GA 30326
Registered with this firm since 3/16/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/22/2006 - 03/16/2009 STANFORD GROUP COMPANY (CRD#:39285) ATLANTA, GA
B
03/13/2006 - 03/16/2009 STANFORD GROUP COMPANY (CRD#:39285) ATLANTA, GA
IA
04/22/2003 - 12/31/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) ATLANTA, GA
B
06/15/2002 - 12/31/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
B
10/01/1999 - 06/15/2002 WACHOVIA SECURITIES, INC. (CRD#:431) CHARLOTTE, NC
B
08/31/1999 - 10/06/1999 WACHOVIA BROKERAGE SERVICE (CRD#:17503) WINSTON SALEM, NC
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B
Broker
IA
Investment Adviser
Disclosures
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.