Brian Edward Whalen
AIF®, CFP®, CIMA®Professional Summary
Brian Edward Whalen, AIF®, CFP®, CIMA® was a registered financial advisor. Brian was registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Brian had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Comprehensive Financial Planning
- Education Planning
- Retirement Planning
- Insurance Planning
- Investment Planning
- Life Transitions
- Employee and Employer Plan Benefits
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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KINGSVIEW WEALTH MANAGEMENT, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Credentials
Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
No current employmentSimilar Advisors
KINGSVIEW WEALTH MANAGEMENT, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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KINGSVIEW WEALTH MANAGEMENT, LLC
State Registrations and Notice Filings
(10/1/2026)
(10/7/2026)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Oct 2016About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Mar 2016About the Series 9 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Sep 2003About the Series 26 examSimilar Advisors
KINGSVIEW WEALTH MANAGEMENT, LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Services Offered by Brian
- Comprehensive Financial Planning
- Education Planning
- Retirement Planning
- Insurance Planning
- Investment Planning
- Life Transitions
- Employee and Employer Plan Benefits
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KINGSVIEW WEALTH MANAGEMENT, LLC
