Andrew J. Whelan
Professional summary
Andrew Jerome Whelan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andrew is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, Andrew had worked at 9 firms, which includes HARBOUR FINANCIAL GROUP, QUESTAR CAPITAL CORPORATION, QUESTAR ASSET MANAGEMENT INC., USALLIANZ SECURITIES INC., LPL FINANCIAL LLC, A. G. EDWARDS & SONS INC., CITIGROUP GLOBAL MARKETS INC., FINANCIAL SQUARE PARTNERS, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2012 - February 26, 2013
HARBOUR FINANCIAL GROUP
December 1, 2006 - January 4, 2007
QUESTAR CAPITAL CORPORATION
June 9, 2006 - January 3, 2007
QUESTAR ASSET MANAGEMENT, INC.
November 23, 2005 - July 18, 2006
USALLIANZ SECURITIES, INC.
November 8, 2005 - December 1, 2006
USALLIANZ SECURITIES, INC.
March 21, 1995 - December 31, 2002
LPL FINANCIAL LLC
December 16, 1991 - November 11, 2005
LPL FINANCIAL LLC
June 6, 1990 - December 16, 1991
A. G. EDWARDS & SONS, INC.
August 22, 1988 - June 7, 1990
CITIGROUP GLOBAL MARKETS INC.
February 5, 1988 - August 2, 1988
FINANCIAL SQUARE PARTNERS
May 22, 1986 - February 23, 1988
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
HARBOUR FINANCIAL GROUP
CRD#: 156414 / SEC#:
Contact information
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