Whitney Mcguire Mcnicol

Current Employers

Employment History

• 10/2013 → 01/2020
  The Fillies, Inc
  Louisville, KY
• 01/2014 → 06/2018
  Ky One Health
  Louisville, KY
• 08/2015 → 01/2018
  Waddell & Reed Inc
  Louisville, KY
• 04/1998 → Present
  Whitney Mcnicol
  Louisville, KY
• 02/2017 → 01/2018
  Various Insurance Carriers For W&R Insurance Agencies
  Louisville, KY
• 01/2018 → 09/2022
  First Allied Securities
  San Diego, CA
• 11/2020 → 12/2024
  First Allied Advisory Services
  Schaumburg, IL
• 01/2018 → 11/2020
  First Allied Advisory Services, Inc.
  Louisville, KY
• 09/2022 → 12/2024
  Cetera Advisors Llc
  Louisville, KY
• 09/2019 → Present
  Mcnicol Maxwell Llc Dba Maxwell'S House Of Music
  Jeffersonville, IN
• 01/2023 → Present
  Mhom Management Company
  Jeffersonville, IN
• 07/2020 → Present
  Mom'S Music Inc.
  Louisville, KY
• 11/2018 → Present
  J Mac Entertainment Llp
  Louisville, KY
• 01/2025 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 01/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2018-01-09 → 2020-11-12
  First Allied Advisory Services, Inc.
  Louisville, KY
• 2016-11-22 → 2017-12-31
  Waddell & Reed
  Louisville, KY
  Charleroi, PA

Other Businesses

1. NAME OF OTHER BUSINESS: MAX MUSIC WELL FOUNDATION INVESTMENT RELATED: NO ADDRESS: 1710 E. 10TH STEET JEFFERSONVILLE, IN 47130 NATURE OF BUSINESS: CHARITABLE FOUNDATION START DATE: 03/2023 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER BRIEF DESCRIPTION OF DUTIES: ACCOUNTING SERVICES AND ATTEND ANNUAL MEETINGS; 2. NAME OF OTHER BUSINESS: MOM'S MUSIC INC. INVESTMENT RELATED: NO ADDRESS: 1900 MELLWOOD AVE LOUISVILLE, KY 40206 NATURE OF BUSINESS: RETAIL MUSIC INSTRUMENT STORE & OFFER MUSIC LESSONS START DATE: 07/2020 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: CO-OWNER BRIEF DESCRIPTION OF DUTIES: REVIEW FINANCIALS MONTHLY AND TAX RETURN ANNUALLY; 3. NAME OF OTHER BUSINESS: MCNICOL MAXWELL LLC DBA MAXWELL'S HOUSE OF MUSIC INVESTMENT RELATED: NO ADDRESS: 1710 E. 10TH STEET JEFFERSONVILLE, IN 47130 NATURE OF BUSINESS: RETAIL MUSIC STORE AND OFFER MUSIC LESSONS START DATE: 09/2019 APX NUMBER OF HOURS PER WEEK: 6 APX NUMBER OF HOURS DURING TRADING HOURS: 6 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: ACCOUNTING SERVICES AND TAX RETURN PREPARATION ASSISTANCE WITH OUR CPA; 4. NAME OF OTHER BUSINESS: MHOM MANAGEMENT COMPANY INVESTMENT RELATED: NO ADDRESS: 1710 E. 10TH STEET JEFFERSONVILLE, IN 47130 NATURE OF BUSINESS: MINOR ACCOUNTING AND TAX PREPARATION START DATE: 01/2023 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: MINOR ACCOUNTING AND TAX PREPARATION; 5. NAME OF OTHER BUSINESS: J MAC ENTERTAINMENT LLP INVESTMENT RELATED: NO ADDRESS: 10613 DRY CREEK WAY LOUISVILLE, KY 40299 NATURE OF BUSINESS: MARKETING SERVICES ARE PROVIDED FOR MUSICIANS START DATE: 11/2018 APX NUMBER OF HOURS PER WEEK: .25 APX NUMBER OF HOURS DURING TRADING HOURS: .25 POSITION/TITLE/RELATIONSHIP: PARTNER BRIEF DESCRIPTION OF DUTIES: OVERSEE ACCOUNTING AND TAX PREPRATION ANNUALLY; 6. Name of other business: Commonwealth Capital Management, LLC Investment related: Yes Address: Same as registered location Nature of business: Financial Services Start date: 12/2024 Position/title/relationship: Financial Advisor Apx number of hours per week: 40 Apx number of hours during trading hours: 40 Brief description of duties: Providing financial services to clients; 7.NAME OF OTHER BUSINESS: NAMM BOARD INVESTMENT RELATED: NO ADDRESS: 5790 ARMADA DRIVE, CARLSBAD CA 92008 NATURE OF BUSINESS: BOARD START DATE: 1/26/2026 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: .5 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: REVIEW MONTHLY FINANCIAL STATEMENT

Exams

• S66 Uniform Combined State Law Examination
  2016-11-22

Other Names

• Whitney Ann Mcguire