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RW

Richard C. Whalen

COHEN & COMPANY SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 1507594
RW

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 COHEN & COMPANY SECURITIES, LLC located in New York, New York.

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

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

December 11, 2018 - Present

COHEN & COMPANY SECURITIES, LLC

Office #1: 3 Columbus Circle 24th Floor, New York, NY 10019
BD
CRD#: 149758
New York, NY
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
New York
(12/11/2018)

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
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

C&
COHEN & COMPANY SECURITIES, LLC
C & CO/PRINCERIDGE GROUP LLC | VINSONFORBES & CO. LLC | THE PRINCERIDGE GROUP LLC | J.V.B. FINANCIAL GROUP, LLC | COHEN & COMPANY SECURITIES, LLC | C & CO/PRINCERIDGE LLC

CRD#: 149758 / SEC#: , 8-68186

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

Main Address
3 Columbus Circle 24th Floor, New York, NY 10019
Mailing Address
3 Columbus Circle 24th Floor, New York, NY 10019
Phone number
(646) 792-5600
Established
Delaware since 12/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
J.V.B. FINANCIAL GROUP HOLDINGS, LP.SOLE MEMBER
BRAFMAN, LESTER RAYMONDCHIEF EXECUTIVE OFFICER1895749
BURKLIN, STEPHAN GEORGEEXECUTIVE VICE PRESIDENT1808970
LISTMAN, DOUGLASCFO5894307
VACCA, KATHARINE ELIZABETHCHIEF COMPLIANCE OFFICER1821586

Disclosures

Regulatory Event6

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

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758New York, NY 10019

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