TW
Thomas G. Whelan
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Morristown, NJ 07960
Some features on this profile are disabled
CRD#: 2221331
TW
Professional summary
Thomas Gerard Whelan, who also goes by Thomasm Whelan, Tom Whelan, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Morristown, New Jersey and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Morristown, New Jersey.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomasm Whelan | Tom Whelan
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.
1. TOM WHELAN, 61 SUN VALLEY RD, RAMSEY, NJ, RENTAL PROPERTY, SUMMER BEACH HOUSE RENTAL, 11/12/15, NIR, 20/YR- 0/TRADING 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 40/TRADING. 10/18/18. 3. SPRING POINT SENIOR LIVING, 4814 OUTLOOK DR, WALL TOWNSHIP, NH, 1/2019 AS FINANCE BOARD MEMBER. NIR - 5/MO - 0/TRADING. 4. WHELAN SCOTT ASSET MANAGEMENT, 1 MADISON AVE, MADISON NJ, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES,11/12/95, NIR, 10/YR- 0/TRADING 5. WHELAN SCOTT ASSET MANAGEMENT, 1 MADISON AVE, MADISON, NJ, CO-OWNER OF BUSINESS PROPERTY, 05/07/19, INV REL, 10 HR/YR- 0/TRADING HR. 6. TOM WHELAN,96 OCEAN LANE, SEASIDE PARK, NJ, RENTAL PROPERTY, 01/06/20, NIR, 20 HR/YR- 0/TRADING HR.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Gerard Whelan'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
October 16, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 89 Headquarter Plaza North Tower 14th Floor, Morristown, NJ 07960RIA
CRD#: 134139
Morristown, NJ
Current
October 16, 2018 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1 Madison Ave, Morristown, NJ 07960BD
CRD#: 39543
Morristown, NJ
Past
August 23, 2007 - October 22, 2018
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
LIVINGSTON, NJ
Past
August 17, 2007 - October 22, 2018
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
LIVINGSTON, NJ
Past
April 23, 2003 - August 28, 2007
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
PARAMUS, NJ
Past
May 3, 1999 - August 28, 2007
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
PARAMUS, NJ
Past
June 9, 1995 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
March 14, 1995 - December 31, 1996
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
June 11, 1992 - March 15, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
June 11, 1992 - March 15, 1995
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)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(10/16/2018)
RR
Alaska(5/4/2021)
RR
Arizona(5/4/2021)
RR
Arkansas(10/16/2018)
RR
Colorado(10/16/2018)
RR
Connecticut(10/16/2018)
RR
Delaware(12/3/2018)
RR
Florida(10/16/2018)
RR
Georgia(1/15/2025)
RR
Maryland(10/16/2018)
RR
Massachusetts(10/16/2018)
RR
New Jersey(10/16/2018)
IAR
New Jersey(10/18/2018)
RR
New Mexico(10/16/2018)
RR
New York(10/16/2018)
RR
North Carolina(10/16/2018)
RR
Pennsylvania(10/16/2018)
RR
South Carolina(10/16/2018)
RR
South Dakota(10/16/2018)
RR
Texas(10/16/2018)
IAR
Texas(10/16/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
