William Asbury Whitaker

Current Employers

Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2009-03-17

GA RA
APPROVED

Since 2009-03-17

Branch Locations

Phipps Tower-3438 Peachtree Rd Ne Suite 950, Atlanta, GA 30326 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Oppenheimer & Co. Inc.	Atlanta	GA	03/2009	Present

03/2009 → Present

Oppenheimer & Co. Inc.

Atlanta, GA

Previous Registrations

2006-03-22 → 2009-03-16

Stanford Group Company

Atlanta, GA
2003-04-22 → 2005-12-31

Wells Fargo Clearing Services, Llc

Atlanta, GA

Other Businesses

1. ELIZABETH N. WHITAKER 11 TRUST FBO ELIZABETH W. TATE DTD 12/12/2007 (TRUSTEE). 2. ELIZABETH N. WHITAKER REVOCABLE LIVING TRUST DTD 6/8/1992 (CO-TRUSTEE). 3. I SERVE AS TRUSTEE OR CO-TRUSTEE FOR SEVERAL FAMILY TRUSTS. ACCOUNTS AT OPCO. START DATES 4/6/2009, 2 HOURS PER MONTH DURING SECURITIES TRADING HOURS. DUTIES: INVESTMENT MANAGEMENT AND TRUST ADMINISTRATION.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-09-02

S66 Uniform Combined State Law Examination

1999-09-02

View on SEC IAPD