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WHITNEY W WARMACK
WHITNEY W HERRON
CRD#: 5349630
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Investment Adviser
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Previous Broker
THE CAPROCK GROUP, LLCCRD#: 124272 Austin, TX
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2008 (1 year)2 FIRMS2011 - 2015 (4 years)2 FIRMS2015 - 2019 (3 years)IATHE CAPROCK GROUP, LLC (CRD# 124272)2023 - Present (1 year)BGOLDMAN, SACHS & CO. (CRD# 361)2008 - 2010 (2 years)IACRESSET ASSET MANAGEMENT, LLC (CRD# 288566)2021 - 2023 (1 year)IABERMAN CAPITAL ADVISORS, LLC (CRD# 155419)2019 - 2021 (2 years)
License(s)

State Registrations

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Idaho 6/28/2023

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Texas 9/28/2023

Current Registration(s)
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THE CAPROCK GROUP, LLC (CRD#:124272)
Austin, TX
Registered with this firm since 6/28/2023

Previous Registration(s)
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10/01/2021 - 06/30/2023 CRESSET ASSET MANAGEMENT, LLC (CRD#:288566) Austin, TX
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03/26/2019 - 10/19/2021 BERMAN CAPITAL ADVISORS, LLC (CRD#:155419) ATLANTA, GA
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12/04/2015 - 01/30/2019 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) ATLANTA, GA
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12/04/2015 - 01/30/2019 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) ATLANTA, GA
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01/04/2011 - 12/04/2015 BARCLAYS CAPITAL INC. (CRD#:19714) ATLANTA, GA
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01/03/2011 - 12/04/2015 BARCLAYS CAPITAL INC. (CRD#:19714) ATLANTA, GA
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09/26/2008 - 12/02/2010 GOLDMAN, SACHS & CO. (CRD#:361) NEW YORK, NY
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07/24/2007 - 09/09/2008 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) ATLANTA, GA
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07/03/2007 - 09/09/2008 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) ATLANTA, GA
For additional information about investment advisers or broker-dealers, please visit
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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
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.