Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Whitaker is a financial advisor currently employed with Stifel, Nicolaus & Company, Inc. John has been active in the financial industry since December 14, 1989. John holds several industry licenses and certifications including Series 7, Series 63, and Series 65. John has experience working at previous firms including City Securities Corporation and Dean Witter Reynolds Inc. John is currently registered as a broker dealer in Alabama, Arizona, Connecticut, Florida, Illinois, Indiana, Missouri, New York, North Carolina, Ohio, Oklahoma, Utah and Virginia. John is also registered as an investment advisor in Florida, Indiana, and North Carolina. John works out of the Indianapolis branch office for Stifel, Nicolaus & Company, Inc.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IN
02/28/2017 - Present
Stifel, Nicolaus & Company, Inc. (INDIANAPOLIS IN)
IN
11/21/1990 - 02/28/2017
CITY SECURITIES CORPORATION (INDIANAPOLIS IN)
NY
10/27/1989 - 10/02/1990
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 04/17/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/22/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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