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Vincent Whatley

Raymond James & Associates, INC.
24 Years of Experience
Hanover, NH
Broker
View SEC Summary
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Vincent Whatley is a CFP-designated registered investment advisor at Raymond James & Associates, INC., based in Hanover, NH, with 24 years of industry experience. Vincent is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

17 1/2 Lebanon St, Ste 3, Hanover, NH, 03755-2184

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Learn about disclosures →
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
January 2024 - Present · 2 yrs 9 mos
Raymond James & Associates, INC.
January 2024 - Present · 2 yrs 9 mos
Previous Registrations
Morgan Stanley
June 2009 - January 2024 · 14 yrs 7 mos
Morgan StanleyBroker
June 2009 - January 2024 · 14 yrs 7 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
November 2004 - April 2007 · 2 yrs 5 mos
Morgan Stanley Dw INC.Broker
September 2004 - April 2007 · 2 yrs 7 mos
Edward JonesBroker
March 2000 - July 2000 · 4 mos
American General Financial Advisors, INC.Broker
February 1999 - March 2000 · 1 yr 1 mo
The Variable Annuity Marketing CompanyBroker
May 1998 - March 2000 · 1 yr 10 mos
State Registrations47 states
ALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNENHNJNMNYOHOKORPARISCTNTXUTVAVTWAWIWVWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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