Michael Whalen
Professional summary
Michael Whalen, who also goes by Michael James Whalen, Michael J Whalen, is a registered financial professional currently at JANE STREET EXECUTION SERVICES, LLC located in New York, New York and JANE STREET CAPITAL, LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 9 firms and has passed the Series 66, Series 63, Series 3, Series 57TO, SIE, Series 55, Series 7, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Whalen's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 8, 2017 - Present
JANE STREET EXECUTION SERVICES, LLC
Office #1: 250 Vesey Street, New York, NY 10281March 8, 2017 - Present
JANE STREET CAPITAL, LLC
Office #1: 250 Vesey Street, New York, NY 10281February 9, 2015 - March 6, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 29, 2009 - March 6, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 26, 2007 - April 28, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 11, 2002 - May 11, 2005
TD WATERHOUSE CAPITAL MARKETS, INC.
April 15, 2002 - June 5, 2002
BROKERAGEAMERICA, LLC
February 25, 2002 - April 15, 2002
BROKERAGEAMERICA, INC
July 13, 1998 - November 29, 2001
NATIONAL FINANCIAL SERVICES LLC
March 24, 1998 - July 13, 1998
FIDELITY BROKERAGE SERVICES LLC
March 21, 1995 - March 24, 1998
NATIONAL FINANCIAL SERVICES LLC
April 21, 1994 - March 21, 1995
FIDELITY BROKERAGE SERVICES LLC
August 31, 1992 - November 27, 1992
HENNION & WALSH, 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
(3/8/2017)
(3/8/2017)
(8/14/2019)
(3/8/2017)
(7/23/2019)
(3/8/2017)
(3/8/2017)
(3/8/2017)
(3/8/2017)
(3/8/2017)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/17/2008
Limited Representative-Equity Trader Exam24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
JANE STREET CAPITAL, LLC
CRD#: 103782 / SEC#: , 8-52275
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JANE STREET GROUP, LLC | MEMBER | |
| BELLIOTTI, ANGELO | CHIEF COMPLIANCE OFFICER | 6617066 |
| BERGER, MATTHEW ROBERT | OPERATING COMMITTEE MEMBER | 4714455 |
| DIETERICH, JAMES BRIAN | OPERATING COMMITTEE MEMBER | 3073206 |
| HARRISON, MARIE ELIZABETH | PRINCIPAL FINANCIAL OFFICER | 4621035 |
| KUNCHAM, VIVEK | PRESIDENT | 5399138 |
| LEHOCZKY, SANDOR GRAHAM | OPERATING COMMITTEE MEMBER | 3231898 |
| WALSH, PATRICK J. | PRINCIPAL OPERATIONS OFFICER | 4786045 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
