Chris A. 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.
Chris Alan Whalen, who also goes by Chris Whalen, was a registered financial professional .
Chris is a previously registered financial professional and started their career in finance in 1996. Chris had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2021 - September 30, 2024
EVERMAY WEALTH MANAGEMENT, LLC
October 16, 2019 - September 15, 2020
LIQUIDNET, INC.
November 29, 2017 - October 23, 2019
MAXIM GROUP LLC
July 14, 2004 - November 3, 2017
CANTOR FITZGERALD & CO.
February 23, 1999 - June 14, 2004
JEFFERIES LLC
April 8, 1998 - December 8, 1998
MORGAN STANLEY & CO. LLC
November 6, 1997 - March 27, 1998
TONG YANG SECURITIES (AMERICA), INC.
September 16, 1996 - November 7, 1997
JEFFERIES LLC
Primary Firm SEC Registration
EVERMAY WEALTH MANAGEMENT, LLC
CRD#: 149230 / SEC#: 801-70170
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: 3/30/2000
Limited Representative-Equity Trader ExamCurrent Firm
EVERMAY WEALTH MANAGEMENT, LLC
CRD#: 149230 / SEC#: 801-70170
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,787 |
| AUM (Assets Under Management) | $ 1,180,517,977 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 10/04/2024 | ||
| 10/16/2023 | ||
| 11/18/2022 |
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.
