Sean J. Whelan

BRANDON HILL WEALTH MANAGEMENT

KATONAH, NY

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CRD#: 1516201

Professional summary

Sean Joseph Whelan is a registered financial advisor currently at BRANDON HILL WEALTH MANAGEMENT, LLC located in Katonah, New York.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Sean has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Sean Joseph Whelan's 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

September 16, 2021 - Present

BRANDON HILL WEALTH MANAGEMENT, LLC

RIA

CRD#: 315778

KATONAH, NY

Past

March 24, 2015 - August 3, 2021

SG AMERICAS SECURITIES, LLC

CRD#: 128351

NEW YORK, NY

Past

July 19, 2010 - March 19, 2015

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

Past

March 7, 2006 - July 21, 2010

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

March 11, 2003 - March 15, 2006

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

November 8, 1988 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

November 8, 1988 - October 23, 1995

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

May 14, 1988 - March 14, 2003

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

November 23, 1987 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

June 24, 1986 - November 20, 1987

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(9/16/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/2/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/22/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/12/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/5/2006

General Securities Sales Supervisor - Options Module Examination

Current Firm

BRANDON HILL WEALTH MANAGEMENT, LLC

CRD#: 315778 / SEC#:

New York

Registered Investment Advisory firm - (9/16/2021 Approved)

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Contact information

Main Address

Katonah, NY

Mailing Address

Phone number

(914) 582-0839

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	32
AUM (Assets Under Management)	$ 24,965,954

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.

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Sean J. Whelan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Joseph Whelan's CRS (Customer Relationship Summary).

Certified licenses

Experience

SG AMERICAS SECURITIES, LLC

NATWEST MARKETS SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

UBS SECURITIES LLC

LEHMAN SPECIAL SECURITIES INC.

LEHMAN GOVERNMENT SECURITIES INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

L. F. ROTHSCHILD & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 9/2/2021

Series 63

Date: 7/22/1986

SIE

Date: 10/1/2018

Series 7

Date: 6/21/1986

Series 10

Date: 2/12/2007

Series 9

Date: 12/5/2006

Current Firm

BRANDON HILL WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BRANDON HILL WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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