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Whaley J Dyches

Pershing LLC

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About Whaley J Dyches

Whaley J Dyches is a financial advisor in Lake Mary, FL. Whaley has been in the financial services industry since 2002 and currently works at Pershing LLC. Before joining Pershing LLC, Whaley was employed at HORNOR, TOWNSEND & KENT, INC. and JANNEY MONTGOMERY SCOTT LLC. Whaley J Dyches is registered to conduct securities business in Pennsylvania.

Firm Information

Whaley Dyches is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

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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Whaley Dyches’s Registration & Firm History

FL

07/06/2010 - Present

Pershing LLC (LAKE MARY FL)

PA

08/30/2002 - 04/08/2009

HORNOR, TOWNSEND & KENT, INC. (HORSHAM PA)

PA

08/09/2000 - 07/02/2002

JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)

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Licenses & Designations

BC

Issued 08/23/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/12/2002

Series 24 - General Securities Principal Examination

BC

Issued 08/04/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/11/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/08/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Whaley J Dyches. Review regulatory record here.
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