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David John Whaley

Raymond James & Associates, Inc.

St. Petersburg, FL

Prosper, TX

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-04-27
  • TX RA
    APPROVED
    Since 2022-04-27

Branch Locations

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Prosper, TX • 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
OrganizationCityStateFromTo
Voya Financial Advisors Dallas TX 09/2014 03/2022
Raymond James & Associates, Inc. Prosper TX 03/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-10-20
S63 Uniform Securities Agent State Law Examination 2000-03-28
  • S65 Uniform Investment Adviser Law Examination
    2014-10-20
  • S63 Uniform Securities Agent State Law Examination
    2000-03-28

View on SEC IAPD

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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SAINT PETERSBURG, FL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · ST. PETERSBURG, FL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · ST.PETERSBURG, FL
RAYMOND JAMES INVESTMENT MANAGEMENT · St. Petersburg, FL
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Saint Petersburg, FL
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