Stuart Warren Whatley

Current Employers

Employment History

• 01/2008 → Present
  Raymond James Financial Services
  Birmingham, AL
• 01/2009 → Present
  Raymond James Financial Services Advisors, Inc
  Birmingham, AL
• 01/2008 → Present
  Birmingham Investment Group
  Birmingham, AL
• 01/2008 → 12/2024
  Guthrie Whatley Ingram Dozier Llc
  Birmingham, AL

Previous Registrations

• 2003-07-01 → 2008-01-23
  Wells Fargo Clearing Services, Llc
  Birmingham, AL
  Birmingham, AL
• 2001-08-20 → 2003-07-01
  Prudential Equity Group, Llc
  Birmingham, AL

Other Businesses

(1) Name of Business: Address: 2 20th St N Ste 1400, Birmingham, AL, 35203-4051, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 06/16/2025 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Selling product (2) Name of Business: Address: 2 20th St N Ste 1400, Birmingham, AL, 35203-4051, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 06/18/2026 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: selling term life product (3) Name of Business: Address: 2 20th St N Ste 1400, Birmingham, AL, 35203-4051, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 02/04/2026 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Selling Term Life Insurance Product (4) Name of Business: Address: 2 20th St N Ste 1400, Birmingham, AL, 35203-4051, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 03/13/2026 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: selling term life insurance product (5) Name of Business: Alabama School of Fine Arts Foundation Address: 1800 Reverend Abraham Woods Jr Blvd, Birmingham, AL, 35203, United States Activity Type: Non profit Position/Title: Board Member, Finance/Investment Committee Member Investment Related: Yes Start Date: 08/08/2017 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Board Member, Chair of the Finance Committee. I am not a signatory or authorizing agent on the bank account per Jonathan Larsen in compliance. (6) Name of Business: BIG Ventures LLC Address: 2 20th St N Ste 1400, Birmingham, AL, 35203-4051, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 04/30/2025 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Managing Member of LLC (7) Name of Business: Ingram Whatley, LLC Address: Two North Twentieth St, Birmingham, AL, 35203, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 06/10/2021 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Company is an LLC and I am one of two Members in LLC (8) Name of Business: Whatley Financial Group LLC Address: 2 20th St N Ste 1400, Birmingham, AL, 35203, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 01/11/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Sole Member of LLC and President

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-03-09
• S63 Uniform Securities Agent State Law Examination
  1989-12-28

Other Names

• Warren Whatley
• S Warren Whatley