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RIA / WealthAdvisor33 years in industry

PHILLIP THOMAS WHITLEY

Advisor at WHITLEY FINANCIAL, LLC

HARRISBURG, NC

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Search this name across graphsid dfx:ria:717c7733-3b22-3244-b782-0ae038f8d22d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Apr 1, 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: WHITLEY FINANCIAL, LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 9, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jul 9, 1993
First registration: Apr 1, 2002
Dual registered: no
IAPD individual key: 2367830

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
WHITLEY FINANCIAL, LLC	State registered	Jan 3, 2022	n/a	yes	HARRISBURG, NC	Current employment
GROVE POINT ADVISORS, LLC	Former SEC adviser	Apr 1, 2021	Dec 31, 2021	no	ROCKVILLE, MD\|ROCKVILLE, MD\|Charlotte, NC\|Harrisburg, NC	Previous registration
H. BECK, INC.	Former SEC adviser	May 4, 2017	Apr 1, 2021	no	Rockville, MD\|CHARLOTTE, NC\|Harrisburg, NC	Previous registration
SYNERGY INVESTMENT GROUP, LLC	Former SEC adviser	Apr 26, 2012	May 4, 2017	no	KANNAPOLIS, NC	Previous registration
STERNE AGEE ASSET MANAGEMENT, INC.	Former SEC adviser	Mar 8, 2012	Apr 25, 2012	no	CHARLOTTE, NC	Previous registration
SYNERGY INVESTMENT GROUP, LLC	Former SEC adviser	May 6, 2005	Mar 7, 2012	no	CONCORD, NC\|CHARLOTTE, NC\|CHARLOTTE, NC	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Apr 1, 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
GROVE POINT ADVISORS, LLC	WHITLEY FINANCIAL, LLC	Dec 31, 2021	Jan 3, 2022	3	Firm change	Ibd to state RIA
H. BECK, INC.	GROVE POINT ADVISORS, LLC	Apr 1, 2021	Apr 1, 2021	0	Bulk transfer	Ibd to ibd
SYNERGY INVESTMENT GROUP, LLC	H. BECK, INC.	May 4, 2017	May 4, 2017	0	Firm change	Other
STERNE AGEE ASSET MANAGEMENT, INC.	SYNERGY INVESTMENT GROUP, LLC	Apr 25, 2012	Apr 26, 2012	1	Firm change	Other
SYNERGY INVESTMENT GROUP, LLC	STERNE AGEE ASSET MANAGEMENT, INC.	Mar 7, 2012	Mar 8, 2012	1	Firm change	Other
PRUCO SECURITIES, LLC	SYNERGY INVESTMENT GROUP, LLC	May 10, 2005	May 6, 2005	-4	Firm change	Other

Relationships

Registered with (6)

→ WHITLEY FINANCIAL, LLCRegistered adviserregistration: current employment
Jan 3, 2022 to presentfactForm ADV
→ GROVE POINT ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 1, 2021 to Dec 31, 2021factForm ADV
→ H. BECK, INC.Registered adviserregistration: previous registration
May 4, 2017 to Apr 1, 2021factForm ADV
→ SYNERGY INVESTMENT GROUP, LLCRegistered adviserregistration: previous registration
Apr 26, 2012 to May 4, 2017factForm ADV
→ STERNE AGEE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Mar 8, 2012 to Apr 25, 2012factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Apr 1, 2002 to May 10, 2005factForm ADV

Dated events

No dated event names this entity yet.