Robert M. Whelan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Michael Whelan, who also goes by Robert Michael Whelan Jr, Bob Whelan, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 7 firms and has passed the Series 63, Series 82, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2018 - December 18, 2020
FORESIDE INVESTMENT SERVICES, LLC
March 14, 2003 - May 14, 2007
LEERINK PARTNERS LLC
April 6, 2000 - July 18, 2001
PRUDENTIAL EQUITY GROUP, LLC
July 14, 1992 - March 23, 2001
VOLPE BROWN WHELAN & COMPANY, LLC
March 14, 1984 - January 18, 1988
HAMBRECHT & QUIST LLC
July 1, 1983 - March 9, 1984
BECKER PARIBAS INCORPORATED
September 28, 1981 - June 30, 1983
WARBURG PARIBAS BECKER INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FORESIDE INVESTMENT SERVICES, LLC
CRD#: 30016 / SEC#: , 8-44681
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| CHERN, NANETTE KING | CHIEF COMPLIANCE OFFICER/VP | 1718029 |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | FINOP | 5290145 |
| WHETSTONE, KELLY BOWERS | SECRETARY | 5380134 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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