Stephen F. 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.
Stephen Fx Whalen, who also goes by Stephen F X Whalen, Stephen Francis Whalen, Stephen Francis Xavier Whalen, Stephen Francisxavier Whalen, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1989. Stephen had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2017 - July 16, 2018
VOYA FINANCIAL ADVISORS, INC.
May 5, 2017 - July 16, 2018
VOYA FINANCIAL ADVISORS, INC.
January 25, 2017 - April 12, 2017
SCOTTRADE INVESTMENT MANAGEMENT
January 4, 2017 - April 12, 2017
SCOTTRADE, INC.
July 7, 2015 - April 22, 2016
VANGUARD ADVISERS, INC.
October 3, 2007 - April 7, 2016
VANGUARD MARKETING CORPORATION
February 28, 2006 - August 1, 2007
PNC WEALTH MANAGEMENT LLC
February 28, 2006 - August 1, 2007
PNC WEALTH MANAGEMENT LLC
November 10, 2004 - February 21, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
October 29, 2004 - February 21, 2006
IDS LIFE INSURANCE COMPANY
October 29, 2004 - February 21, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
February 4, 1998 - June 25, 2002
DELAWARE DISTRIBUTORS, L.P.
October 31, 1989 - April 7, 1995
DELAWARE DISTRIBUTORS, L.P.
March 21, 1989 - September 16, 1989
NF CLEARING, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
Current Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
