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James Douglas Whitaker

Capital ONE Securities, Inc.

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About James Douglas Whitaker

James Whitaker is a financial professional with Capital One Securities, Inc. James is registered with FINRA and has been in the financial services industry for over 1 year. James holds the Series 79TO and SIE licenses. James is currently located at the Chicago office of Capital One Securities, Inc..

Firm Information

James Whitaker is currently registered with Capital ONE Securities, Inc.. Capital ONE Securities, Inc. is a Corporation formed in April 2000 and approved in multiple states, including California, Connecticut, Florida, Illinois, Louisiana, Maryland, Massachusetts, New York, Pennsylvania, Texas, and Virginia. They are also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

103

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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James Whitaker’s Registration & Firm History

IL

04/02/2021 - Present

Capital ONE Securities, Inc. (Chicago IL)

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Licenses & Designations

BC

Issued 04/02/2021

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 02/07/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Douglas Whitaker.
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