Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
IAIN ALEXANDER WHYTE
IAIN A WHYTE
CRD#: 4593192
IA
Investment Adviser
B
Broker
PASADENA PRIVATE WEALTH, LLCCRD#: 295178 2 NORTH LAKE AVENUE
SUITE 520
PASADENA, CA 91101
GT SECURITIES, INC.CRD#: 116012 2 N. Lake Avenue, Suite 510
Pasadena, CA 91101
Registration History
2002200420062008201020122014201620182020202220242026BGT SECURITIES, INC. (CRD# 116012)2019 - Present (6 years)IAPASADENA PRIVATE WEALTH, LLC (CRD# 295178)2018 - Present (6 years)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2018 - 2018 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2002 - 2018 (15 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2003 - 2018 (15 years)
License(s)

State Registrations

IA
California 5/18/2018
B
California 1/29/2019

SRO Registrations

B
 FINRA

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)
B
GT SECURITIES, INC. (CRD#:116012)
2 N. Lake Avenue, Suite 510, Pasadena, CA 91101
Registered with this firm since 1/29/2019
IA
PASADENA PRIVATE WEALTH, LLC (CRD#:295178)
2 NORTH LAKE AVENUE SUITE 520, PASADENA, CA 91101
Registered with this firm since 5/18/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 05/18/2018 - 12/07/2018 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) Pasadena, CA
IA
 01/06/2003 - 05/22/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 12/12/2002 - 05/22/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.