Geoffrey P. Whelan
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.
Geoffrey Patrick Whelan, who also goes by Jeff Whelan, was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1988. Geoffrey had worked at 10 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2001 - April 10, 2002
SCHONFELD SECURITIES, LLC
October 25, 1996 - January 23, 2001
PRIME CHARTER LTD.
December 14, 1992 - October 18, 1996
LADENBURG THALMANN & CO. INC.
May 30, 1991 - November 23, 1992
LEHMAN BROTHERS INC.
November 26, 1990 - April 26, 1991
COMMONWEALTH ASSOCIATES
February 2, 1990 - November 30, 1990
GLOBAL AMERICA INCORPORATED
November 24, 1989 - February 12, 1990
J. T. MORAN & CO., INC.
April 14, 1989 - November 27, 1989
A.J. MICHAELS & CO., LTD.
March 23, 1989 - May 2, 1989
SECURITIES USA, INC.
March 22, 1988 - March 10, 1989
INVESTORS CENTER, INC.
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
Series 55
Date: 5/12/2001
Limited Representative-Equity Trader ExamCurrent Firm
SCHONFELD SECURITIES, LLC
CRD#: 23304 / SEC#: , 8-40148
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 1 |
Red Flags
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