Joseph 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.
Joseph Michael Whalen, who also goes by Joseph M Whalen, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1985. Joseph had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2012 - April 12, 2012
SALEM ADVISORY GROUP LLC
October 4, 2011 - March 19, 2012
GROVE POINT INVESTMENTS, LLC
June 1, 2009 - October 1, 2009
MORGAN STANLEY
June 1, 2009 - October 1, 2009
MORGAN STANLEY
January 10, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 10, 2002 - December 13, 2004
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 18, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
December 1, 1986 - March 24, 1987
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
December 17, 1985 - August 4, 1986
E. F. HUTTON & COMPANY INC
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 8
Date: 1/29/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SALEM ADVISORY GROUP LLC
CRD#: 145697 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 476 |
| AUM (Assets Under Management) | $ 65,761,363 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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