Richard G. Whaling
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.
Richard Graham Whaling, who also goes by Graham Whaling, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2008 - June 30, 2014
PARKMAN WHALING SECURITIES LLC
November 3, 2000 - May 22, 2001
CREDIT SUISSE SECURITIES (USA) LLC
October 14, 1999 - May 22, 2001
PERSHING LLC
May 5, 1993 - January 13, 1995
CREDIT SUISSE SECURITIES (USA) LLC
July 18, 1989 - January 13, 1995
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PARKMAN WHALING SECURITIES LLC
CRD#: 145342 / SEC#: , 8-67723
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMPBELL, BRUCE EMERSON III | CHIEF COMPLIANCE OFFICER | 5459992 |
Red Flags
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