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John Alan Whitsel

J.h. Darbie & CO., Inc.

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About John Alan Whitsel

John Alan Whitsel is a registered representative with J.h. Darbie & Co., Inc. John Alan Whitsel has been in the securities industry since 1997. John Alan Whitsel has been registered with J.h. Darbie & Co., Inc. since 2009. Prior to that, John Alan Whitsel was registered with Meyers Associates, L.P., Prestige Financial Center, Inc., Sloan Securities Corp., Aura Financial Services, Inc., First Montauk Securities Corp., World Financial Capital Markets Inc., Fordham Financial Management, Inc., National Securities Corporation, Sharpe Capital, Inc., Whale Securities Co., L.P., Bluestone Capital Partners, L.P., Laidlaw Equities, Inc., and Trautman, Kramer & Company, Inc. John Alan Whitsel holds the Series 63, Series 7 and SIE licenses.

Firm Information

John Whitsel is currently registered with J.h. Darbie & CO., Inc.. J.h. Darbie & CO., Inc. is a Corporation registered with the SEC and in 46 states. Founded in June 1997, the firm offers advisory services including portfolio management for individuals and selection of other advisors. They also participate in wrap fee programs. They have approximately 9 employees, including licensed agents, investment advisor representatives, and registered representatives. The firm's website is HTTP://WWW.JHDARBIE.COM.

Not reported

Assets Under Management

Not reported

Total Clients

28

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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subadvisory and solicitations

Subadvisory and solicitations

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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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Subadvisory and solicitations

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John Whitsel’s Registration & Firm History

NY

11/06/2009 - Present

J.h. Darbie & CO., Inc. (NEW YORK NY)

NY

07/28/2008 - 03/19/2009

MEYERS ASSOCIATES, L.P. (NEW YORK NY)

NY

05/22/2006 - 07/17/2008

PRESTIGE FINANCIAL CENTER, INC. (NEW YORK NY)

NY

07/28/2005 - 06/01/2006

SLOAN SECURITIES CORP. (NEW YORK NY)

AL

06/21/2004 - 07/06/2005

AURA FINANCIAL SERVICES, INC. (BIRMINGHAM AL)

NJ

03/15/2004 - 06/23/2004

FIRST MONTAUK SECURITIES CORP. (RED BANK NJ)

NA

02/24/2003 - 04/10/2003

WORLD FINANCIAL CAPITAL MARKETS INC. (MARBELLA )

NY

12/04/2002 - 02/10/2003

FORDHAM FINANCIAL MANAGEMENT, INC. (NEW YORK NY)

FL

10/26/2000 - 11/26/2002

NATIONAL SECURITIES CORPORATION (BOCA RATON FL)

NY

06/27/2000 - 10/27/2000

SHARPE CAPITAL, INC. (NEW YORK NY)

NY

10/30/1997 - 07/14/2000

WHALE SECURITIES CO., L.P. (NEW YORK NY)

NY

01/02/1997 - 10/16/1997

BLUESTONE CAPITAL PARTNERS, L.P. (NEW YORK NY)

NY

02/22/1996 - 12/16/1996

LAIDLAW EQUITIES, INC. (NEW YORK NY)

NY

05/17/1995 - 03/12/1996

TRAUTMAN, KRAMER & COMPANY, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/15/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/15/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 8 public disclosures for John Alan Whitsel. Review regulatory record here.
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