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Joel Barry Whitley

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oak Brook, IL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2007-09-14
TX RA APPROVED_RES 2007-09-14
  • IL RA
    APPROVED
    Since 2007-09-14
  • TX RA
    APPROVED_RES
    Since 2007-09-14

Branch Locations

2021 Spring Rd, Oak Brook, IL 60523 • 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
Merrill Lynch, Pierce, Fenner & Smith Oak Brook IL 09/2007 Present
Bank Of America, N.A. Oak Brook IL 05/2011 Present
  • 09/2007 → Present
    Merrill Lynch, Pierce, Fenner & Smith
    Oak Brook, IL
  • 05/2011 → Present
    Bank Of America, N.A.
    Oak Brook, IL
Previous Registrations
  • 2005-12-15 → 2007-09-18
    Bmo Harris Financial Advisors, Inc.
    Hinsdale, IL
    Naperville, IL
  • 2001-11-15 → 2005-12-31
    Harrisdirect Llc
    Hinsdale, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-16
S63 Uniform Securities Agent State Law Examination 1999-04-21
  • S65 Uniform Investment Adviser Law Examination
    1999-07-16
  • S63 Uniform Securities Agent State Law Examination
    1999-04-21

View on SEC IAPD

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Other Offices

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · OAK BROOK, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Oak Brook, IL
WEALTHQUEST CORPORATION · OAK BROOK, IL
ERGAWEALTH ADVISORS, INC. · OAK BROOK, IL
CETERA INVESTMENT ADVISERS LLC · OAK BROOK, IL
LPL FINANCIAL LLC · OAK BROOK, IL
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