KW
Kerry R. Whalen
WHALEN CAPITAL
Wausau, WI 54401
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CRD#: 1570057
KW
Professional summary
Kerry Richard Whalen is a registered financial advisor currently at WHALEN CAPITAL, INC. located in Wausau, Wisconsin and ON INVESTMENT MANAGEMENT CO located in Wausau, Wisconsin.
Kerry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Kerry has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
WHALEN CAPITAL, INC; YES INVESTMENT RELATED; WAUSAU, WI; RIA; OWNER; 03/09/04;20 HOURS/MONTH(20 DURING SECURITIES TRADING HOURS; PROVIDE FEE BASED INVESTMENT AND RETIREMENT FINANCIAL PLANNING TO FEE BASED CLIENTS. GRANITE OAK PROPERTIES; NOT INVESTMENT RELATED;WAUSAU WI ; REAL ESTATE; OWNER; 01/01/08; 10 HOURS/MONTH(10 DURING SECURITIES TRADING HOURS);FIXES DESTRESSED PROPERTIE AND SELLS ONCE REFURBISHED. CORPORATE RETIREMENT SOLUTIONS;WAUSAU WI; TPA FOR RETIREMENT PLANS; OWNER; 01/01/08; 2HOURS/MONTH(2 DURING SECURITIES TRADING); ALL ADMIN DONE BY QUALIFIED EMPLOYEES. GRANITE OAKS LLC; NOT INVESTMENT RELATED; WAUSAU WI; REAL ESTATE; OWNER; 01/01/2009; 20 HOURS/MONTH (10 DURING SECURITIES TRADING);FIX DISTRESSED PROPERTIES. WHALEN FINANCIAL GROUP INC; INVESTMENT RELATED; WAUSAU, WI; PRESIDENT/INSURANCE AGENT;01/2011; INSURANCE PRODUCT SALES. PARAGON GROUP OF WAUSAU LLC; NOT INVESTMENT RELATED; WAUSAU, WI; OWNER; REAL ESTATE HOLDING COMPANY. ON INVESTMENT MANAGMENT CO; INVESTMENT RELATED; WAUSAU, WI; INVESTMENT ADVISOR REPRESENTATIVE FOR LEGACY CLIENTS; 08/2013; FEE BASED ADVISORY SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view Kerry Richard Whalen'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®
NoneExperience
Current
March 2, 2004 - Present
WHALEN CAPITAL, INC.
Office #1: 226411 Rib Mountain Rd, Wausau, WI 54401RIA
CRD#: 130016
Wausau, WI
Current
August 27, 2013 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 226411 Rib Mountain Drive, Wausau, WI 54401RIA
CRD#: 105662
Wausau, WI
Current
December 15, 2003 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 226411 Rib Mountain Dr, Wausau, WI 54401BD
CRD#: 2936
Wausau, WI
Past
March 3, 2004 - October 25, 2010
STEELE CAPITAL MANAGEMENT, INC.
RIA
CRD#: 107097
SCHOFIELD, WI
Past
November 10, 1994 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
February 2, 1989 - October 1, 1993
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
October 30, 1986 - December 19, 2003
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
ON INVESTMENT MANAGEMENT CO
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
RIA
Registered Investment Advisory firm - (11/14/1971 Approved)Alabama
Registered Investment Advisory firm - (4/15/2002 Terminated)District of Columbia
Registered Investment Advisory firm - (2/9/2001 Terminated)Georgia
Registered Investment Advisory firm - (4/15/2002 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Maine
Registered Investment Advisory firm - (4/19/2002 Terminated)Maryland
Registered Investment Advisory firm - (4/15/2002 Terminated)Michigan
Registered Investment Advisory firm - (1/8/2002 Terminated)North Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)South Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2002 Terminated)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.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
Alabama(9/30/2025)
IAR
Alabama(10/1/2025)
RR
Arizona(8/31/2017)
RR
Arkansas(2/27/2025)
RR
California(12/7/2021)
RR
Colorado(4/3/2024)
RR
Florida(12/15/2003)
RR
Georgia(7/29/2016)
RR
Illinois(8/8/2011)
RR
Indiana(3/15/2019)
RR
Iowa(1/28/2015)
RR
Kentucky(4/19/2023)
RR
Massachusetts(6/21/2019)
RR
Michigan(2/14/2023)
RR
Minnesota(11/14/2012)
RR
New Jersey(10/7/2016)
RR
South Dakota(4/23/2024)
RR
Tennessee(4/24/2024)
RR
Texas(8/26/2022)
RR
Utah(9/28/2012)
RR
Washington(8/6/2021)
RR
Wisconsin(12/15/2003)
IAR
Wisconsin(3/2/2004)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
ON INVESTMENT MANAGEMENT CO
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
RIA
Registered Investment Advisory firm - (11/14/1971 Approved)Alabama
Registered Investment Advisory firm - (4/15/2002 Terminated)District of Columbia
Registered Investment Advisory firm - (2/9/2001 Terminated)Georgia
Registered Investment Advisory firm - (4/15/2002 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Maine
Registered Investment Advisory firm - (4/19/2002 Terminated)Maryland
Registered Investment Advisory firm - (4/15/2002 Terminated)Michigan
Registered Investment Advisory firm - (1/8/2002 Terminated)North Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)South Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Financial Way, Cincinnati, OH 45242
Mailing Address
P.o. Box 371, Cincinnati, OH 45201-0371
Phone number
(855) 262-0913
Established
Firm type
Fiscal year end
# of Employees
3,193
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,053 |
| AUM (Assets Under Management) | $ 2,376,953,646 |
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
ON INVESTMENT MANAGEMENT CO
CRD#: 105662Wausau, WI 54401TRUST BUT VERIFY
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