Simon Whitaker, financial advisor Plano TX
90 score

Simon Whitaker

CRD Number: 5924068
Current Firm: Capital One Advisors, LLC

Simon Whitaker (CRD# 5924068) is an Investment Advisor Representative working at Capital One Advisors, LLC in Plano, TX and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Capital One Investing, LLC Plano, TX May 2017 - Current < 1
Capital One Advisors, LLC Plano, TX May 2017 - Current < 1
Unemployed Frisco, TX Aug 2016 - Apr 2017 < 1
Usaa Financial Planning Services Addison, TX Jan 2014 - Aug 2016 2
Usaa Financial Advisors, Inc. Addison, TX Nov 2013 - Aug 2016 2
A Yuppy Puppy, Inc. Lake Bluff, IL Sep 2003 - Apr 2014 10
Bbva Securities Inc. Dallas, TX May 2013 - Oct 2013 < 1
Compass Bank Dallas, TX Apr 2012 - Oct 2013 1
Bbva Compass Investment Solutions Inc. Dallas, TX May 2012 - May 2013 1
Unemployed Dallas, TX Nov 2011 - Apr 2012 < 1
Bank Of America N.a. Dallas, TX Jun 2011 - Nov 2011 < 1
Merrill Lynch Dallas, TX May 2011 - Nov 2011 < 1
A Yuppy Puppy Lake Bluff, IL Sep 2003 - May 2011 7
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Jan 2014
S63 Uniform Securities State Law Examination Aug 2013
Contact Info for Simon Whitaker
Phone Number: 800-747-2537
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    8
    MILLIONS
  • Total Number of Accounts
    204
    ACCOUNTS
  • Average Account Value
    $39,720
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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