Brad 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.
Brad Whalen, who also goes by Brad Steven Whalen, was a registered financial professional .
Brad is a previously registered financial professional and started their career in finance in 1995. Brad had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2018 - September 17, 2020
GREEN VISTA ASSET MANAGEMENT LLC
August 27, 2018 - May 26, 2026
GREEN VISTA CAPITAL, LLC
July 30, 2015 - August 28, 2018
THE STRATEGIC FINANCIAL ALLIANCE, INC.
April 20, 2015 - August 28, 2018
THE STRATEGIC FINANCIAL ALLIANCE, INC.
September 10, 2010 - September 6, 2013
J.W. KORTH & COMPANY
August 26, 2009 - August 31, 2010
TD AMERITRADE, INC.
August 26, 2009 - August 31, 2010
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 20, 2009 - August 31, 2010
TD AMERITRADE, INC.
March 6, 2008 - July 31, 2009
HARRISDIRECT LLC
March 6, 2008 - July 31, 2009
E*TRADE SECURITIES LLC
February 28, 2007 - April 18, 2007
TRUIST INVESTMENT SERVICES, INC.
September 15, 2003 - December 4, 2006
TD AMERITRADE, INC.
January 6, 1999 - December 4, 2006
TD AMERITRADE, INC.
July 29, 1998 - December 21, 1998
MOMENTUM INDEPENDENT NETWORK INC.
February 28, 1995 - November 14, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
GREEN VISTA ASSET MANAGEMENT LLC
CRD#: 296855 / SEC#: 801-113691
Contact information
Regulatory assets under management
| Total Number of Accounts | 75 |
| AUM (Assets Under Management) | $ 16,206,841 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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