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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

Mark Edward Whitley

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Concord, NC

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Search this name across graphsid dfx:ria:4ea43ee8-cd9b-e443-5bcb-27f323d08ade

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 14, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 6, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Mar 6, 2002
First registration: May 14, 2002
Dual registered: yes, broker-dealer
Other names: MARK EDWARD WHITLEY|MARK E WHITLEY
IAPD individual key: 4497379

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jul 2, 2020	n/a	yes	Concord, NC	Current employment
WELLS FARGO ADVISORS	Wirehouse	Nov 7, 2014	Jul 6, 2020	no	CHARLOTTE, NC\|CONCORD, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|CONCORD, NC	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 21, 2011	Nov 11, 2014	no	CHARLOTTE, NC	Previous registration
SYNERGY INVESTMENT GROUP, LLC	Former SEC adviser	May 6, 2005	May 31, 2011	no	CONCORD, NC\|CHARLOTTE, NC\|SALISBURY, NC	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	May 14, 2002	May 10, 2005	no	CONCORD, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jul 6, 2020	Jul 2, 2020	-4	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Nov 11, 2014	Nov 7, 2014	-4	Firm change	Wirehouse to wirehouse
SYNERGY INVESTMENT GROUP, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 31, 2011	Jun 21, 2011	21	Firm change	Other
PRUCO SECURITIES, LLC	SYNERGY INVESTMENT GROUP, LLC	May 10, 2005	May 6, 2005	-4	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:149018:NC:2020-07-06	Jul 6, 2020	Jul 2, 2020	CONCORD, NC	Firm change

Relationships

Registered with (5)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Jul 2, 2020 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Nov 7, 2014 to Jul 6, 2020factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 21, 2011 to Nov 11, 2014factForm ADV
→ SYNERGY INVESTMENT GROUP, LLCRegistered adviserregistration: previous registration
May 6, 2005 to May 31, 2011factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
May 14, 2002 to May 10, 2005factForm ADV

Dated events

No dated event names this entity yet.