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William Asbury Whitaker

Oppenheimer & Co. Inc.

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About William Asbury Whitaker

William Whitaker is an investment advisor representative at Oppenheimer & Co. Inc. William has been in the industry since 1999 and has been registered with Oppenheimer & Co. Inc. since 2009. William has a Series 66, Series 7, and a Securities Industry Essentials (SIE) license. William provides financial planning, portfolio management for businesses, and portfolio management for individuals. William also provides investment management and trust administration services for several family trusts.

Firm Information

William Whitaker is currently registered with Oppenheimer & Co. Inc.. Oppenheimer & Co. Inc. is a corporation formed in December 1954 and headquartered in New York City. The firm provides a range of advisory services, including financial planning, pension consulting, selection of other advisors, portfolio management for businesses, individuals, and pooled investment vehicles. Oppenheimer & Co. Inc. manages approximately $1 billion to $10 billion in assets for a diverse clientele, including individuals, corporations, institutions, and government entities. The firm is registered with the SEC and in all 50 states.
Oppenheimer & Co. Inc.

85 BROAD STREET

NEW YORK, NY 10004

$27.45B

Assets Under Management

Not reported

Total Clients

1,429

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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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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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 businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

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

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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William Whitaker’s Registration & Firm History

GA

03/17/2009 - Present

Oppenheimer & Co. Inc. (ATLANTA GA)

GA

03/13/2006 - 03/16/2009

STANFORD GROUP COMPANY (ATLANTA GA)

MO

06/15/2002 - 12/31/2005

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NC

10/01/1999 - 06/15/2002

WACHOVIA SECURITIES, INC. (CHARLOTTE NC)

NC

08/31/1999 - 10/06/1999

WACHOVIA BROKERAGE SERVICE (WINSTON SALEM NC)

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Licenses & Designations

BOTH

Issued 09/02/1999

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/30/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for William Asbury Whitaker.
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