Individual Firm
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WHITNEY W WARMACK
WHITNEY W HERRON
CRD#: 5349630
IA
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THE CAPROCK GROUP, LLCCRD#: 124272 Austin, TX
0
Disclosures
17
Years of Experience
View By:
State Registrations
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Idaho 6/28/2023
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Texas 9/28/2023
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2021 - 06/30/2023 | Austin, TX | |
IA | 03/26/2019 - 10/19/2021 | ATLANTA, GA | |
IA | 12/04/2015 - 01/30/2019 | ATLANTA, GA | |
B | 12/04/2015 - 01/30/2019 | ATLANTA, GA | |
IA | 01/04/2011 - 12/04/2015 | ATLANTA, GA | |
B | 01/03/2011 - 12/04/2015 | ATLANTA, GA | |
B | 09/26/2008 - 12/02/2010 | NEW YORK, NY | |
IA | 07/24/2007 - 09/09/2008 | ATLANTA, GA | |
B | 07/03/2007 - 09/09/2008 | ATLANTA, GA |
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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.
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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.