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RW

Richard C. Whalen

ASHTON STEWART & CO.
MIAMI, FL 33131
Some features on this profile are disabled
CRD#: 1507594
RW
Richard Christopher WhalenASHTON STEWART & CO.

Professional summary

Richard Christopher Whalen, who also goes by Chris Whalen, R Christopher Whalen, R. Christopher Whalen, R.c. Whalen, Richard Christopher Whalen, is a registered financial professional currently at ASHTON STEWART & CO., INC. located in Miami, Florida.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1997. Richard has worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 79, Series 7 and Series 24 exams.

Aliases

Chris Whalen | R Christopher Whalen | R. Christopher Whalen | R.c. Whalen | Richard Christopher Whalen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Christopher Whalen's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 28, 2026 - Present

ASHTON STEWART & CO., INC.

Office #1: 1395 Brickell Ave Suite 800, Miami, FL 33131
BD
CRD#: 112386
MIAMI, FL
Past

December 11, 2018 - July 7, 2026

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
BOCA RATON, FL
Past

July 12, 2017 - December 4, 2018

BRADLEY WOODS & CO. LTD.

BD
CRD#: 13660
NEW YORK, NY
Past

May 20, 2016 - March 10, 2017

BRADLEY WOODS & CO. LTD.

BD
CRD#: 13660
NEW YORK, NY
Past

February 1, 2013 - March 25, 2014

CARRINGTON INVESTMENT SERVICES, LLC

BD
CRD#: 139334
OLD GREENWICH, CT
Past

April 22, 2003 - August 1, 2003

COWEN SECURITIES LLC

BD
CRD#: 23510
NEW YORK, NY
Past

August 14, 2001 - September 24, 2002

DETWILER FENTON & CO.

BD
CRD#: 1794
BOSTON, MA
Past

December 3, 1998 - March 25, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 10, 1997 - October 9, 1998

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(7/28/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 1/24/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/5/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/10/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/9/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/6/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ASHTON STEWART & CO., INC.
ASHTON STEWART & CO., INC. | VANTAGE SECURITIES, INC. | MAS TRADE.NET INC. | MAS CAPITAL SECURITIES, INC.

CRD#: 112386 / SEC#: , 8-53239

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1395 Brickell Ave Suite 800, Miami, FL 33131
Mailing Address
1395 Brickell Ave Suite 800, Miami, FL 33131
Phone number
(646) 868-5410
Established
Indiana since 09/27/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ASHTON STEWART INTERNATIONAL HOLDINGS, LLCSHAREHOLDER
BURMAN, ANATOLYCEO/CCO1652002

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.

Company Information

ASHTON STEWART & CO., INC.

CRD#: 112386Miami, FL 33131

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