Frank M. Whalen
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.
Frank Michael Whalen was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1985. Frank had worked at 5 firms and has passed the Series 63, SIE, Series 55, 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
October 8, 2007 - December 28, 2015
SEVEN POINTS CAPITAL, LLC
January 26, 2006 - March 27, 2008
EQUITY TRADING ONLINE, LLC
July 2, 1992 - January 27, 2006
JEFFERIES LLC
June 17, 1991 - June 30, 1992
JEFFERIES EXECUTION SERVICES, INC.
June 11, 1990 - June 21, 1991
JEFFERIES LLC
February 26, 1987 - June 11, 1990
JEFFERIES EXECUTION SERVICES, INC.
June 18, 1985 - May 14, 1986
PERSHING LLC
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
Series 55
Date: 10/26/2007
Limited Representative-Equity Trader ExamCurrent Firm
SEVEN POINTS CAPITAL, LLC
CRD#: 144211 / SEC#: , 8-67644
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
