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Bruce Warren Whaley

Wilson-Davis & CO., Inc.

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About Bruce Warren Whaley

Bruce Warren Whaley is a registered representative with Wilson-Davis & CO., Inc. located in Salt Lake City, Utah. Bruce has been in the securities industry since 1971. He is registered in several states including Arizona, California, Colorado, Florida, Georgia, Iowa, Kansas, Michigan, Minnesota, Nevada, New Mexico, New York, Ohio, Oregon, South Dakota, Texas, Utah, Washington, and Wyoming. Bruce has passed several securities exams including the Series 63, Series 24, Series 7TO, Series 57TO, SIE, Series 55, and Series 1. He has previously been affiliated with Fitzgerald, Dearman & Roberts, Inc., Northridge Securities, Inc., R. A. Johnson and Company, Inc., Venhu Securities Inc., Olsen & Company, Cannon Securities, Inc., and Gregersen Boynton & Co Inc.

Firm Information

Bruce Whaley is currently registered with Wilson-Davis & CO., Inc.. Wilson-Davis & CO., Inc. is a Corporation formed in 1968 and is registered in 53 states and the SEC. They have been involved in 57 regulatory events and 1 arbitration case.

Not reported

Assets Under Management

Not reported

Total Clients

24

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Bruce Whaley’s Registration & Firm History

UT

08/16/1988 - Present

Wilson-Davis & CO., Inc. (SALT LAKE CITY UT)

NA

04/11/1985 - 01/12/1990

FITZGERALD, DEARMAN & ROBERTS, INC.

NA

03/15/1979 - 07/03/1985

NORTHRIDGE SECURITIES, INC.

NA

06/04/1984 - 04/08/1985

R. A. JOHNSON AND COMPANY, INC.

NA

06/03/1982 - 05/10/1984

VENHU SECURITIES INC.

NA

11/19/1973 - 09/28/1983

OLSEN & COMPANY

NA

03/10/1982 - 05/03/1982

CANNON SECURITIES, INC.

NA

05/11/1971 - 12/09/1973

GREGERSEN BOYNTON & CO INC

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Licenses & Designations

BC

Issued 06/04/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/27/1979

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/11/1998

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 05/07/1971

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Bruce Warren Whaley. Review regulatory record here.
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