Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Edward Whatley is a financial advisor with over 40 years of experience in the industry. Mark is currently registered with Raymond James & Associates, Inc. and has previously worked with Morgan Keegan & Company, Inc., LPL Financial Corporation, Paine Webber Incorporated, Smith Barney, Harris Upham & Co., Incorporated, and Drexel Burnham Lambert Incorporated. Mark holds a variety of licenses and certifications including Series 3, 5, 7, 24, 31, and SIE. Mark specializes in providing financial planning, portfolio management for businesses and individuals, pension consulting, educational seminars and selection of other advisors.
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.
Please see note in schedule d - miscellaneous
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
GA
02/13/2013 - Present
Raymond James & Associates, Inc. (Atlanta GA)
GA
01/06/2009 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (ATLANTA GA)
GA
01/11/1993 - 01/09/2009
LPL FINANCIAL CORPORATION (ATLANTA GA)
NJ
04/27/1990 - 01/15/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
12/08/1987 - 05/07/1990
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
12/21/1983 - 12/12/1987
DREXEL BURNHAM LAMBERT INCORPORATED
BC
Issued 11/15/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/05/1993
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
BC
Issued 11/18/1983
Series 5 - Interest Rate Options Examination
BC
Issued 10/21/1983
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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